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Volume 4: Agriculture, Forestry and Other Land Use (AFOLU)

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VOLUME 4

AGRICULTURE, FORESTRY AND


OTHER LAND USE (AFOLU)

Draft 2006 IPCC Guidelines for National Greenhouse Gas Inventories

V4.i

Agriculture, Forestry and Other Land Use

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Co-ordinating Lead Authors

Keith Paustian (USA), N.H. Ravindranath (India), and Andre van Amstel (The Netherlands)

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Review Editors

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Michael Apps (Canada), Helen Plume (New Zealand), Bernhard Schlamadinger (Austria), and Soobaraj Nayroo
Sok Appadu (Mauritius)

V4.ii

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Volume 4: Agriculture, Forestry and Other Land Use (AFOLU)

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Contents

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Chapter 1 Introduction ..............................................................................................................................1.1

Chapter 2 Generic Methodologies Applicable to Multiple Land Use Categories......................................2.1

Chapter 3 Consistent Representation of Lands ..........................................................................................3.1

Chapter 4 Forest land ................................................................................................................................4.1

Chapter 5: Cropland ..................................................................................................................................5.1

Chapter 6: Grassland .................................................................................................................................6.1

Chapter 7: Wetlands ..................................................................................................................................7.1

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Chapter 8: Settlements ...............................................................................................................................8.1

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Chapter 9: Other land.................................................................................................................................9.1

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Chapter 10: Emissions from Livestock and Manure Management ..........................................................10.1

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Chapter 11: N2O Emissions from Managed Soils, and CO2 Emissions from Lime and
Urea Application.............................................................................................................11.1

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Chapter 12: Harvested Wood Products....................................................................................................12.1

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Annex 1: AFOLU Worksheets ...............................................................................................................A1.1

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Annex 2: Summary of Equations...........................................................................................................A2.1

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Appendix 1 CO2 Removals in Residual Combustion Products (charcoal): Basis for


future methodological development............................................................................Ap1.1

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Appendix 2: CH4 Emissions from Flooded Land: Basis for future methodological development .......Ap2.1

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Chapter 1: Introduction

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CHAPTER 1

INTRODUCTION

Draft 2006 IPCC Guidelines for National Greenhouse Gas Inventories

1.1

Volume 4: Agriculture, Forestry and Other Land Use

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Authors

Keith Paustian (USA), N.H. Ravindranath (India), and Andre van Amstel (The Netherlands)

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Michael Gytarsky (Russia), Werner A. Kurz (Canada), Stephen M. Ogle (USA), Gary Richards (Australia) and
Zoltan Somogyi (European Commission/Hungary)

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Chapter 1: Introduction

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Contents

1.1

Introduction

1.2

Overview of Greenhouse Gas emissions and removals in the AFOLU Sector

1.2.1

Science Background

1.2.2

Carbon pool definitions and non-CO2 gases

1.3

Overview of Inventory Preparation for the AFOLU Sector

1.3.1

Land-use and Management Categories

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1.3.2

Tier Definitions for Methods in AFOLU

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1.3.3

Identification of Key Categories

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1.3.4

Steps in Preparing Inventory Estimates

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Organisation of Volume 4 in 2006 Guidelines

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1.4

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Annex 1A

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1A.1

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1A.2
Good Practice Guidance and Uncertainty Management in National Greenhouse Gas Inventories
(GPG2000)

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1A.3

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Historical Background on IPCC Greenhouse Gas Inventory Guidance for AFOLU Sector
Revised 1996 IPCC Guidelines

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Good Practice Guidance for Land Use, Land-use Change and Forestry (GPG-LULUCF)

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Figures

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Figure 1.1 The main greenhouse gas emission sources/removals and processes in managed ecosystems. ..7

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Figure 1.2 Decision tree for identification of appropriate Tier level for land remaining in the same landuse category, using forest land remaining forest land as an example.................................13

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Figure 1.3: Decision tree for identification of appropriate Tier level for land converted to another land-use
category, using land converted to forest land as an example. ............................................14

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Figure 1.4 Structure of AFOLU Reporting.................................................................................................17

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Tables

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Table 1.1 Definitions for Carbon pools used in AFOLU for each Land-use Category..............................10

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Table 1.2 Land-use categories, carbon pools and non-CO2 gases to be estimated under Tier 1, their
relevance to AFOLU sections, and the reference to 1996 Guidelines................................18

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Boxes

Box 1.1 Framework of tier structure for AFOLU methods.........................................................................12

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Chapter 1: Introduction

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1.1 INTRODUCTION

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Volume 4 provides guidance for preparing annual greenhouse gas inventories in the Agriculture, Forestry and
Other Land Use (AFOLU) sector. This volume integrates the previously separate guidance in the Revised 1996
IPCC Guidelines for National Greenhouse Gas Inventories for Agriculture (Chapter 4) and Land Use, Land-Use
Change and Forestry (Chapter 5). This integration recognizes that the processes underlying greenhouse gas
emissions and removals, as well as the different forms of terrestrial carbon stocks, can occur across all types of
land. It recognizes that land-use changes can involve all types of land. This approach is intended to improve
consistency and completeness in the estimation and reporting of greenhouse gas emissions and removals.

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The principal changes compared with the 1996 Guidelines (for both Land-use Change and Forestry, and
Agriculture) made in these 2006 Guidelines reflect the elaborations of the 1996 Guidelines introduced in the
Good Practice Guidance and Uncertainty Management in National Greenhouse Gas Inventories (GPG2000) and
Good Practice Guidance for Land Use, Land-use Change and Forestry (GPG-LULUCF). These include:

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Adoption of the six land-use categories used in GPG-LULUCF (i.e., forest land, cropland, grassland,
wetlands, settlements, and other land see Chapter 3). These land categories are further sub-divided
into land remaining in the same category and land converted from one category to another. The landuse categories are designed to enable inclusion of all managed land area within a country;

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Reporting on all emissions by sources and removals by sinks from managed lands, which are
considered to be anthropogenic, while emissions and removals for unmanaged lands are not reported.

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Additional reporting elements introduced in reporting all emissions and removals for managed lands,
(see Table 1.2).

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Generic methods for accounting of biomass, dead organic matter and soil C stock changes in all landuse categories and generic methods for greenhouse gas emissions from biomass burning that can be
applied in all land-use categories;

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Incorporating methods for non-CO2 emissions from managed soils and biomass burning, and livestock
population characterization and manure management systems from Agriculture (Chapter 5 of the 1996
Guidelines and GPG2000;

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Adoption of three hierarchical tiers of methods that range from default emission factors and simple
equations to the use of country-specific data and models to accommodate national circumstances;

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Description of alternative methods to estimate and report C stock changes associated with harvested
wood products;

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Incorporation of key category analysis for land-use categories, C pools, and CO2 and non-CO2
greenhouse gas emissions;

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Adherence to principles of mass balance in computing carbon stock changes;

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Greater consistency in land area classification for selecting appropriate emission and stock change
factors and activity data;

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Improvements of default emissions and stock change factors, as well as development of an Emission
Factor Database (EFDB) that is a supplementary tool to the 2006 Guidelines, providing alternative
emission factors with associated documentation. The EFDB is described in Chapter 2 of Volume 1.

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Incorporation of methods to estimate CO2 emissions from flooded land with methods for CH4 emissions
contained in Appendix 2 (CH4 Emissions from Flooded Land: Basis for future methodological
development), reflecting the limited availability of scientific information.

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The AFOLU sector has some unique characteristics with respect to developing inventory methods. There are
many processes leading to emissions and removals of greenhouse gases, which can be widely dispersed in space
and highly variable in time. The factors governing emissions and removals can be both natural and
anthropogenic (direct and indirect) and it can be difficult to clearly distinguish between causal factors1. While
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This general observation was made in the IPCC Report on Current Scientific Understanding of the Processes Affecting
Terrestrial Carbon Stocks and Human Influences upon Them (July 2003, Geneva, Switzerland). As a specific example,
emissions from wildfires on managed (and unmanaged) land can exhibit large interannual variations that may be driven by
either natural causes (e.g. climate cycles, random variation in lightning ignitions), or indirect and direct human causes (e.g.
historical fire suppression and past forest harvest activities) or a combination of all three causes, the effects of which
cannot be readily separated.

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recognizing this complexity, inventory methods need to be practical and operational. The 2006 Guidelines are
designed to assist in estimating and reporting national inventories of anthropogenic greenhouse gas emissions
and removals. For the AFOLU sector, anthropogenic greenhouse gas emissions and removals by sinks are
defined as all those occurring on managed land. Managed land is land where human interventions and practices
have been applied to perform production, ecological or social functions. All land definitions and classifications
should be specified at the national level, described in a transparent manner, and be applied consistently over time.
Emissions/removals of greenhouse gases do not need to be reported for unmanaged land. However, it is good
practice for countries to quantify, and track over time, the area of unmanaged land so that consistency in area
accounting is maintained as land-use change occurs.

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This approach, i.e., the use of managed land as a proxy for anthropogenic effects, was adopted in the GPGLULUCF and that use is maintained in the present guidelines. The key rationale for this approach is that the
preponderance of anthropogenic effects occurs on managed lands. By definition, all direct human-induced
effects on greenhouse gas emissions and removals occur on managed lands only. While it is recognized that no
area of the Earths surface is entirely free of human influence (e.g. CO2 fertilization), many indirect human
influences on greenhouse gases (e.g. increased N deposition, accidental fire) will be manifested predominately
on managed lands, where human activities are concentrated. Finally, while local and short-term variability in
emissions and removals due to natural causes can be substantial (e.g. emissions from fire, see footnote 1), the
natural background of greenhouse gas emissions and removals by sinks tends to average out over time and
space. This leaves the greenhouse gas emissions and removals from managed lands as the dominant result of
human activity.

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Guidance and methods for estimating greenhouse gas emissions and removals for the AFOLU sector now
include:

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CO2 emissions and removals resulting from C stock changes in biomass, dead organic matter and mineral
soils, for all managed lands;

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CO2 and non-CO2 emissions from fire on all managed land;

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N2O emissions from all managed soils;

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CO2 emissions associated with liming and urea application to managed soils;

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CH4 emissions from rice cultivation;

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CO2 and N2O emissions from cultivated organic soils;

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CO2 and N2O emissions from managed wetlands (with a basis for methodological development for CH4
emissions from flooded land in an Appendix 2);

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CH4 emission from livestock (enteric fermentation);

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CH4 and N2O emissions from manure management systems; and

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C stock change associated with harvested wood products.

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The scientific background and rationale for these inventory components are given in the next section.

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1.2 OVERVIEW OF GREENHOUSE GAS EMISSIONS


AND REMOVALS IN THE AFOLU SECTOR

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1.2.1 Science Background

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Land use and management influence a variety of ecosystem processes that affect greenhouse gas fluxes (Figure
1.1), such as photosynthesis, respiration, decomposition, nitrification/denitrification, enteric fermentation, and
combustion. These processes involve transformations of carbon and nitrogen that are driven by the biological
(activity of microorganisms, plants, and animals) and physical processes (combustion, leaching, and run-off).

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Greenhouse Gases in AFOLU

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The key greenhouse gases of concern are CO2, N2O and CH4. CO2 fluxes between the atmosphere and
ecosystems are primarily controlled by uptake through plant photosynthesis and releases via respiration,
decomposition and combustion of organic matter. N2O is primarily emitted from ecosystems as a by-product of
nitrification and denitrification, while CH4 is emitted through methanogenesis under anaerobic conditions in
soils and manure storage, through enteric fermentation, and during incomplete combustion while burning organic

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matter. Other gases of interest (from combustion and from soils) are NOx, NH3, NMVOC and CO, because they
are precursors for the formation of greenhouse gases in the atmosphere. Formation of greenhouse gases from
precursor gases is considered an indirect emission. Indirect emissions are also associated with leaching or runoff of nitrogen compounds, particularly NO3- losses from soils, some of which can be subsequently converted to
N2O through denitrification.

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Figure 1.1 The main greenhouse gas emission sources/removals and processes in managed
ecosystems.

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Emission and Removal Processes


Greenhouse gas fluxes in the AFOLU sector can be estimated in two ways: 1) as net changes in C stocks over
time (used for most CO2 fluxes) and 2) directly as gas flux rates to and from the atmosphere (used for estimating
non-CO2 emissions and some CO2 emissions and removals). The use of C stock changes to estimate CO2
emissions and removals, is based on the fact that changes in ecosystem C stocks are predominately (but not
exclusively) through CO2 exchange between the land surface and the atmosphere (i.e. other C transfer process
such as leaching are assumed to be negligible). Hence, increases in total C stocks over time are equated with a
net removal of CO2 from the atmosphere and decreases in total C stocks (less transfers to other pools such as
harvested wood products) are equated with net emission of CO2. Non-CO2 emissions are largely a product of
microbiological processes (i.e., within soils, animal digestive tracts and manure) and combustion of organic
materials. Below, emission and removal processes in the AFOLU sector are described for the major ecosystem
stocks and processes, organized by ecosystem components, i.e., 1) biomass, 2) dead organic matter, 3) soils and
4) livestock.

Biomass
Plant biomass, including above-ground and below-ground parts, is the main conduit for CO2 removal from the
atmosphere. Large amounts of CO2 are transferred between the atmosphere and terrestrial ecosystems, primarily
through photosynthesis and respiration. The uptake of CO2 through photosynthesis is referred to as gross primary
production (GPP). About half of the GPP is respired by plants, and returned to the atmosphere, with the
remainder constituting net primary production (NPP), which is the total production of biomass and dead organic
matter in a year. NPP minus losses from heterotrophic respiration (decomposition of organic matter in litter,
dead wood and soils) is equal to the net carbon stock change in an ecosystem and, in the absence of disturbance
losses, is referred to as net ecosystem production (NEP).

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Net Ecosystem Production (NEP) = Net Primary Production (NPP) Heterotrophic respiration

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NEP minus additional C losses from disturbance (e.g. fire), harvesting and land clearing during land-use change,
is often referred to as net biome production (NBP). The carbon stock change that is reported in national
greenhouse gas inventories for land-use categories is equal to NBP 2.

Net Biome Production (NBP) = NEP Carbon Losses from Disturbance/Land-Clearing/Harvest

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NPP is influenced by land use and management through a variety of anthropogenic actions such as deforestation,
afforestation, fertilization, irrigation, harvest, and species choice. For example, tree harvesting reduces biomass
stocks on the land. However, harvested wood requires additional consideration because some of the carbon may
be stored in wood products in use and in landfills for years to centuries. Thus, some of the carbon removed from
the ecosystem is rapidly emitted to the atmosphere while some carbon is transferred to other stocks in which the
emissions are delayed. In non-forest ecosystems (i.e., cropland, grassland), biomass is predominantly non-woody
perennial and annual vegetation, which makes up a much smaller part of total ecosystem carbon stocks than in
forest lands. The non-woody biomass turns over annually or within a few years and hence net biomass carbon
stocks may remain roughly constant, although stocks may diminish over time if land degradation is occurring.
Land managers may use fire as a management tool in grasslands and forests or wild fires may inadvertently burn
through managed lands, particularly forest lands, leading to significant losses of biomass carbon. Fires not only
return CO2 to the atmosphere through combustion of biomass, but also emit other greenhouse gases, directly or
indirectly, including CH4, N2O, NMVOC, NOx and CO.

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Dead Organic Matter


The bulk of biomass production (NPP) contained in living plant material is eventually transferred to dead
organic matter (DOM) pools (i.e., dead wood and litter see Table 1.1 for definitions). Some DOM decomposes
quickly, returning carbon to the atmosphere, but a portion is retained for months to years to decades. Land use
and management influence C stocks of dead organic matter by affecting the decomposition rates and input of
fresh detritus. Losses due to burning dead organic matter include emissions of CO2, N2O, CH4, NOx, NMVOC,
and CO.

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Soils

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Soil organic carbon stocks are influenced by land-use and management activities that affect litter input rates and
soil organic matter loss rates. Although the dominant processes governing the balance of soil organic carbon
stocks are C inputs from plant residues and C emissions from decomposition, losses as particulate or dissolved
carbon can be significant in some ecosystems. Inputs are primarily controlled by decisions impacting NPP and/or
the retention of dead organic matter, such as how much harvested biomass is removed as products and how much
is left as residues. Outputs are mostly influenced by management decisions that affect microbial and physical
decomposition of soil organic matter, such as tillage intensity. Depending on interactions with previous land use,
climate and soil properties, changes in management practices may induce increases or decreases in soil C stocks.
Generally, management-induced C stock changes are manifested over a period of several years to a few decades,
until soil C stocks approach a new equilibrium. In addition to the influence of human activities, climate
variability and other environmental factors affect soil C dynamics (as well as biomass and DOM).

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In flooded conditions, such as wetland environments and paddy rice production, a significant fraction of the
decomposing dead organic matter and soil organic matter is returned to the atmosphere as CH4. This can be a
major source of emissions in countries with a considerable amount of land dedicated to paddy rice production.
Although virtually all flooded soils emit methane, net soil C stocks may either increase, decrease or remain

As dead organic matter is fragmented and decomposed it is transformed into soil organic matter (SOM). Soil
organic matter includes a wide variety of materials that differ greatly in their residence time in soil. Some of this
material is composed of labile compounds that are easily decomposed by microbial organisms, returning carbon
to the atmosphere. Some of the soil organic carbon, however, is converted into recalcitrant compounds (e.g.
organic-mineral complexes) that are very slowly decomposed and thus can be retained in the soil for decades to
centuries or more. Following fires, small amounts of so-called black carbon are produced, which constitute a
nearly inert carbon fraction with turnover times that may span millennia.

Harvested wood or other durable products derived from biomass (e.g. clothing) products are not included in NBP; harvested
wood products (HWP) are dealt with in Chapter 12.

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constant over time, depending on management and environmental controls on the overall carbon balance. In
well-drained soils, small amounts of CH4 are consumed (oxidized) by methanotrophic bacteria.3

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Soils also contain inorganic C pools, either as primary minerals in the parent material from which the soil was
formed (e.g. limestone), or as secondary minerals (i.e. pedogenic carbonates) that arise during soil formation.
Inorganic soil C stocks can be affected by management, although typically not to the extent of organic C pools.

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Some soil management practices impact greenhouse gas emissions beyond simply changing the C stock. For
example, liming is used to reduce soil acidity and improve plant productivity, but it is also a direct source of CO2
emissions. Specifically, liming transfers C from the earths crust to the atmosphere by removing calcium
carbonate from limestone and dolomite deposits and applying it to soils where the carbonate ion evolves into
CO2.

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Nitrogen additions are a common practice for increasing NPP and crop yields, including application of synthetic
N fertilizers and organic amendments (e.g., manure), particularly to cropland and grasslands. This increase in
soil N availability increases N2O emissions from soils as a by-product of nitrification and denitrification.
Nitrogen additions (in dung and urine) by grazing animals can also stimulate N2O emissions. Similarly, land-use
change enhances N2O emissions if associated with heightened decomposition of soil organic matter and
subsequent N mineralization, such as initiating cultivation on wetlands, forests or grasslands.

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With current state of scientific knowledge, it is possible to provide methods for estimating CO2 and N2O
emissions associated with management of peatlands, and CO2 from conversion to wetlands by flooding. A
methodological appendix (Appendix 2) has been included setting out a basis for development of a methodology
for estimating CH4 emissions from flooded land

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Livestock
Animal production systems, particularly those with ruminant animals, can be significant sources of greenhouse
gas emissions. For example, enteric fermentation in the digestive systems of ruminants leads to production and
emission of CH4. Management decisions about manure disposal and storage affect emissions of CH4 and N2O,
which are formed in decomposing manures as a by-product of methanogenesis and nitrification/denitrification,
respectively. Furthermore, volatilization losses of NH3 and NOx from manure management systems and soils
leads to indirect greenhouse gas emissions.

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1.2.2 Carbon pool definitions and non-CO 2 gases

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Within each land-use category, C stock changes and emission/removal estimations can involve the five carbon
pools that are defined in Table 1.1. For some land-use categories and estimation methods, C stock changes may
be based on the three aggregate carbon pools (i.e., biomass, DOM and soils). National circumstances may
require modifications of the pool definitions introduced here. Where modified definitions are used, it is good
practice to report and document them clearly, to ensure that modified definitions are used consistently over time,
and to demonstrate that pools are neither omitted nor double counted. Carbon stock changes associated with
harvested wood products (which can include several pools) are normally reported at the national scale (see
Chapter 12).

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The non-CO2 gases of primary concern for the AFOLU sector are methane (CH4) and nitrous oxide (N2O).
Emissions of other nitrogenous gases including NOx and NH3, which can serve as a source of subsequent N2O
emissions (and hence referred to as indirect emission sources), are also considered (see Chapter 11).

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1.3 OVERVIEW OF INVENTORY PREPARATION FOR


THE AFOLU SECTOR

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To prepare inventories for the AFOLU sector, emissions and removals of CO2 and non-CO2 greenhouse gases
are estimated separately for each of six land-use categories. Other CO2 emission and non-CO2 categories, such as
livestock related emissions, emissions from soil N management, soil liming emissions and harvested wood
products, may be estimated at the national scale, since often only aggregate data are available. However, they
can be broken out according to land-use category if data are available.

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Disturbance through land-use change and addition of nitrogen (i.e. as fertilizer) have been found to reduce rates of methane
oxidation.

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DEFINITIONS FOR CARBON

Biomass

Pool
Aboveground
biomass

Dead
Organic
Matter

Belowground
biomass
Deadwood

Litter

Soils

Soil organic
matter1

TABLE 1.1
POOLS USED IN AFOLU FOR EACH LAND-USE CATEGORY

Description
All biomass of living vegetation, both woody and herbaceous, above the soil
including stems, stumps, branches, bark, seeds, and foliage.
Note: In cases where forest understory is a relatively small component of the
above-ground biomass carbon pool, it is acceptable for the methodologies and
associated data used in some tiers to exclude it, provided the tiers are used in a
consistent manner throughout the inventory time series.
All biomass of live roots. Fine roots of less than (suggested) 2mm diameter are
often excluded because these often cannot be distinguished empirically from
soil organic matter or litter.
Includes all non-living woody biomass not contained in the litter, either
standing, lying on the ground, or in the soil. Dead wood includes wood lying on
the surface, dead roots, and stumps, larger than or equal to 10 cm in diameter
(or the diameter specified by the country).
Includes all non-living biomass with a size greater than the limit for soil
organic matter (suggested 2 mm) and less than the minimum diameter chosen
for deadwood (e.g. 10 cm), lying dead, in various states of decomposition
above or within the mineral or organic soil. This includes the litter layer as
usually defined in soil typologies. Live fine roots above the mineral or organic
soil (of less than the minimum diameter limit chosen for below-ground
biomass) are included in litter where they cannot be distinguished from it
empirically.
Includes organic carbon in mineral soils to a specified depth chosen by the
country and applied consistently through the time series2. Live and dead fine
roots within the soil (of less than the suggested diameter limit for below-ground
biomass) are included with soil organic matter where they cannot be
distinguished from it empirically.

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Includes organic material (living and non-living) within the soil matrix, operationally defined as a specific size fraction (e.g. all matter
passing through a 2 mm sieve). Soil C stock estimates may also include soil inorganic C if using a Tier 3 method. CO2 emissions from
liming and urea applications to soils are estimated as fluxes using Tier 1 or 2 methods.
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Carbon stocks in organic soils are not explicitly computed using Tier 1 or 2 methods, (which estimate only annual C flux from organic
soils), but C stocks in organic soils can be estimated in a Tier 3 method. Definition of organic soils for classification purposes is provided in
Chapter 3.

1.3.1 Land-use and Management Categories

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A brief overview of how land area is categorized for inventory purposes is given here. Chapter 3 provides a
detailed description of land representation and categorization of land area by land-use and management systems
as well as stratification of land area by climate, soil and other environmental strata.

The six land-use categories (see definitions in Chapter 3) in the 2006 Guidelines are:

forest land

cropland

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grassland

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wetlands

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settlements

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other land

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Each land-use category is further subdivided into land remaining in that category (e.g., forest land remaining
forest land) and land converted from one category to another (e.g., forest land converted to cropland). Countries
may choose to further stratify land in each category by climatic or other ecological regions, depending on the
choice of the method and its requirements. Greenhouse gas emissions and removals determined for each specific
land use includes CO2 (as carbon stock changes) from biomass, dead organic matter and soils, as well as non-

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CO2 emissions from burning and, depending on the land-use category, emissions from other specific sources (e.g.
CH4 emissions from rice).

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Emissions (CH4 and N2O) from livestock management are estimated for major animal types, e.g., dairy cows,
other cattle, poultry, sheep, swine and other livestock (buffalo, goats, llamas, alpacas, camels etc). The animal
waste management systems include anaerobic lagoons, liquid systems, daily spread, solid storage, dry-lot,
pasture/range/paddock, and other miscellaneous systems.

7
8
9
10

Nitrous oxide emissions from managed soils are usually estimated from aggregate (national-level) data on N
supplied to soils, including N fertilizer usage or sales, crop residue management, organic amendments and landuse conversions that enhance mineralization of N in soil organic matter. Similarly, CO2 emissions from liming
and from urea application to managed soils are typically estimated using aggregate data (e.g. national-level).4

11
12
13

Harvested wood products constitute a component of the carbon cycle for which carbon stock changes can be
estimated (guidance provided in Chapter 12), based on national-level data; however, estimation and reporting of
greenhouse gas emissions for HWP is currently a matter of policy negotiations.

14

1.3.2 Tier Definitions for Methods in AFOLU

15
16
17
18
19

The concepts underpinning the three tiered approach, as they relate to methods used in the AFOLU sector, are
outlined here (see Box 1.1). In general, moving to higher Tiers improves the accuracy of the inventory and
reduces uncertainty, but the complexity and resources required for conducting inventories also increases for
higher tiers. If needed, a combination of Tiers can be used, e.g., Tier 2 can be used for biomass and Tier 1 for
soil carbon.

20
21
22

The methods and data presented focus on Tier 1 inventories. The methods will be generally applicable to Tier 2
inventories, but the default data presented for Tier 1 will be partly or wholly replaced with national data as part
of a Tier 2 estimation. Tier 3 methods are not described in detail, but good practice in application is outlined.

23

1.3.3 Identification of Key Categories

24
25
26
27
28
29
30
31

The background discussion on the approach and methods for key category analysis are given in Volume 1
Chapter 4 (Methodological Choice and Identification of Key Categories). This chapter describes the approach to
key category analysis for AFOLU. A key source/sink category is defined in Volume 1 Chapter 4 as one that is
prioritized within the national inventory system because its estimate has a significant influence on a countrys
total inventory of greenhouse gases in terms of the absolute level of emissions and removals, the trend in
emissions and removals, or uncertainty in emissions and removals.,. Key category analysis helps a country to
achieve the most reliable inventory given the resources available. Key category analysis is required to identify
the following:

32

Which land-use and management activities are significant;

33

Which land-use or livestock (sub)category is significant;

34

Which CO2 emissions or removals by sinks from various carbon pools are significant;

35

Which non-CO2 gases and from what categories are significant

36

Which tier is required for reporting

37

No default methodology exists for estimation of CH4 removals in aerobic soils because of limited studies addressing landuse and management impacts on methane oxidation. Countries that wish to estimate and report CH4 removals should
develop, validate and document an appropriate national methodology for estimating CH4 removals, including analysis of
uncertainty.

Draft 2006 IPCC Guidelines for National Greenhouse Gas Inventories

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1
2

BOX 1.1
FRAMEWORK OF TIER STRUCTURE FOR AFOLU METHODS

3
4
5
6
7

Tier 1 methods are designed to be the simplest to use, for which equations and default parameter
values (e.g. emission and stock change factors) are provided in this volume. Country-specific
activity data are needed, but for Tier 1 there are often globally available sources of activity data
estimates (e.g. deforestation rates, agricultural production statistics, global land cover maps,
fertilizer use, livestock population data, etc.), although these data are usually spatially coarse.

8
9
10
11
12
13

Tier 2 can use the same methodological approach as Tier 1 but applies emission and stock change
factors that are based on country- or region-specific data, for the most important land-use or
livestock categories. Country-defined emission factors are more appropriate for the climatic
regions, land-use systems and livestock categories in that country. Higher temporal and spatial
resolution and more disaggregated activity data are typically used in Tier 2 to correspond with
country-defined coefficients for specific regions and specialized land-use or livestock categories.

14
15
16
17
18
19
20
21
22
23
24

At Tier 3, higher order methods are used, including models and inventory measurement systems
tailored to address national circumstances, repeated over time, and driven by high-resolution
activity data and disaggregated at sub-national level. These higher order methods provide estimates
of greater certainty than lower tiers. Such systems may include comprehensive field sampling
repeated at regular time intervals and/or GIS-based systems of age, class/production data, soils
data, and land-use and management activity data, integrating several types of monitoring. Pieces of
land where a land-use change occurs can usually be tracked over time, at least statistically. In most
cases these systems have a climate dependency, and thus provide source estimates with interannual
variability. Detailed disaggregation of livestock population according to animal type, age, body
weight etc., can be used. Models should undergo quality checks, audits, and validations and be
thoroughly documented.

25
26
27
28

The following chapters provide methodologies covering a broad array of source/sink categories in AFOLU. Not
all categories are expected to be key and hence simple default methods (Tier 1) are provided to enable a
complete inventory of AFOLU without requiring large investments of resources in relatively minor categories.

29
30
31
32
33
34
35
36
37
38
39

The analysis should be performed at the level of IPCC source or sink categories as suggested in Table 4.1 of
Volume 1. The analysis should be performed using CO2-equivalent emissions estimated using the global
warming potentials for each gas. The key category evaluation should be performed for each of these gases
separately because the methods, emission factors and related uncertainties differ for each gas, pool and category.
Source categories that use the same emission factors based on common assumptions should be aggregated before
analysis. For each key category, the inventory agency should determine if certain sub-categories represent a
significant share of the emissions. In the case of CH4 emissions from enteric fermentation in domestic livestock,
for example, emissions from particular species (e.g. cattle, buffalo or sheep) are likely to represent the major
share of emissions (GPG2000, Chapter 7). In the case of CO2 emissions/removals, a certain land category (e.g.
land converted to forest land) and further a certain carbon pool (e.g., above-ground biomass) may contribute to a
dominant share of net CO2 emissions/removals.

40
41
42
43
44

The level of aggregation or disaggregation of different land-use (see Chapter 3) and livestock categories (see
Chapter 10) depends on the share of a given land-use or livestock system within a countrys greenhouse gas
inventory and on the level of resources available in the country for inventory activities. Disaggregation of land
and livestock categories helps in reducing the uncertainty; however it increases the cost of the inventory process.
Thus, there is a need for balance between level of disaggregation and the resources available for inventory.

45
46

Once identified the key sources are used for methodological choice via decision trees as shown. Those for the
AFOLU include:

47
48

decision tree for identification of appropriate tier level for land remaining in the same land-use category
(Figure 1.2), for e.g., forest land remaining forest land

49
50

decision tree for identification of appropriate tier level for land converted to another land-use category
(Figure 1.3), for e.g., other land converted to forest land

51
52

decision trees for enteric fermentation and manure management are provided in the relevant sectoral
chapter (see Chapter 10)

53
54

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Chapter 1: Introduction

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1
2

Figure 1.2 Decision tree for identification of appropriate Tier level for land remaining in the
same land-use category, using forest land remaining forest land as an example.

3
START

4
5
6
7

Repeat for each land-use category:


- FF-Forest land remaining forest land
- CC-Cropland remaining cropland
- GG-Grassland remaining grassland
- WW-Wetland remaining wetlands
- SS-Settlement remaining settlements
- OO-Other land remaining other land

10

No

Report Not
Occurring

No

Use tier level most


appropriate for
available data
(Note 6)

Yes

8
9

Do
managed
forests exist?
(Note 1)

Repeat for each gas:


- CO2 (carbon)
- CH4
- N2O

Is FF a
key category?
(Note 2)

11
Yes

12
Repeat for each subcategory*:
- Biomass
- Dead organic matter
- Soils

Ask
for each subcategory under FF
(Note 3):
Is this subcategory
significant?
(Note 4)

No

Are
country-specific
data available?
(Note 6)

Yes

Develop or obtain
representative
data and EFs

Yes

Are
country-specific
data available?
(Note 6)
Yes

No

Yes

Are
advanced
methods and detailed
data for FF available
in your
country?

No

Use advanced methods


and detailed countryspecific activity data
(Note 5)

Use country-specific
EFs
(Note 5)

Use default methods


and Efs
(Note 5)

Box 3: Tier 3

Box 2: Tier 2

Box 1: Tier 1

Note 1: The use of 20 years, as a threshold, is consistent with the defaults contained in IPCC Guidelines. Countries may use different periods where appropriate to national
circumstances (see Chapter 2).
Note 2: See Volume 1 Chapter 4, "Methodological Choice and Identification of Key Categories" (noting section 4.1.2 on limited resources), for discussion of key categories and use of
decision trees.
Note 3: See Table 1.2 for the characterisation of subcategories.
Note 4: A subcategory is significant if it accounts for 25-30% of emissions/removals for the overall category.
Note 5: See Box 1.1 for definition of Tier levels.
Note 6: Data availability refers to both data needed for developing country-specific emission factors and data on land use and management practices (activity data)
* If a country reports harvested wood products (HWP) as a separate pool, it should be treated as a subcategory.

Draft 2006 IPCC Guidelines for National Greenhouse Gas Inventories

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1
2

Figure 1.3: Decision tree for identification of appropriate Tier level for land converted to
another land-use category, using land converted to forest land as an example.

3
START

4
5
6
7

Repeat for each land-use category:


- LF- Land converted to forest land
- LC- Land converted to cropland
- LG- Land converted to grassland
- LW- Land converted to wetlands
- LS- Land converted to settlements
- LO- Land converted to other land

Are
there any land
conversions to forest
land?
(Note 1)

No

Report Not
Occurring

Yes

Repeat for each gas:


- CO2 (carbon)
- CH4
- N2O

10

Is LF a
key category?
(Note 2)

No

Use tier level most


appropriate for
available data
(Note 6)

11
Yes

12
13

Repeat for each subcategory*:

14

- Biomass
- Dead organic matter
- Soils

Ask
for each subcategory under LF
(Note 3):
Is this subcategory
significant?
(Note 4)

No

Are
country-specific
data available?
(Note 6)

Yes

Develop or obtain
representative
data and EFs

Yes

Are
country-specific
data available?
(Note 6)
Yes

No

Yes

Are
advanced
methods and detailed
data for LF available
in your
country?

No

Use advanced methods


and detailed countryspecific activity data
(Note 5)

Use country-specific
EFs
(Note 5)

Use default methods


and Efs
(Note 5)

Box 3: Tier 3

Box 2: Tier 2

Box 1: Tier 1

Note 1: The use of 20 years, as a threshold, is consistent with the defaults contained in IPCC Guidelines. Countries may use different periods where appropriate to national
circumstances (see Chapter 2).
Note 2: See Volume 1 Chapter 4, "Methodological Choice and Identification of Key Categories" (noting section 4.1.2 on limited resources), for discussion of key categories and use of
decision trees.
Note 3: See Table 1.2 for the characterisation of subcategories.
Note 4: A subcategory is significant if it accounts for 25-30% of emissions/removals for the overall category.
Note 5: See Box 1.1 for definition of Tier levels.
Note 6: Data availability refers to both data needed for developing country-specific emission factors and data on land use and management practices (activity data)
* If a country reports harvested wood products (HWP) as a separate pool, it should be treated as a subcategory.

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Chapter 1: Introduction

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1.3.4 Steps in Preparing Inventory Estimates

The following steps describe the compilation of the greenhouse gas inventory for the AFOLU sector:

1.

Divide all land into managed and unmanaged (Chapter 3).

4
5
6

2.

Develop a national land classification system applicable to all six land-use categories (forest land,
cropland, grassland, wetlands, settlements and other land) and further subdivide by climate, soil type
and/or ecological regions (i.e. strata) appropriate for the country, as described in Chapter 3.

7
8
9
10

3.

Compile data on the area of land and the change in area of land in each land-use category (by category)
if available. Categorize land area by specific management systems defined for each land-use category
(by category) if available -this categorization provides the basis for assigning emission factors and stock
change factors, required for a particular estimation approach (see Chapter 3).

11
12
13

4.

Compile national-level statistics for livestock, manure management systems, soil N management,
liming and urea application (if land-use specific activity data are available for soil fertilization and
liming activities, these emissions categories can be stratified as in Step 2).

14
15
16
17
18

5.

Estimate CO2 emissions and removals and non-CO2 emissions at the appropriate tier level in support of
a key category analysis. A preliminary inventory is likely to utilize a Tier 1 or Tier 2 approach.
However, it may be preferable to proceed with a Tier 3 approach if the methods have been previously
developed and the supporting activity and input data have been compiled (see Chapter 2 for general
guidance on methods).

19
20

6.

Re-estimate CO2 emissions and removals and non-CO2 emissions if a higher Tier is recommended,
based on the key category analysis (see Volume 1 Chapter 4 for methods to identify Key Categories).

21
22
23

7.

Estimate uncertainties (see Volume 1 Chapter 3) and complete QA/QC procedures (which are initiated
at Step 1) using the methods provided in Volume 1 Chapter 6, along with additional guidance provided
in Chapters 2 to 12 of this volume.

24
25
26

8.

Sum CO2 emissions and removals and non-CO2 emissions over the inventory period for each source
category by land use and stratum, as well as emissions from livestock, manure, and N management (if
not analyzed separately for each land-use category).

27
28
29
30
31

9.

Transcribe summary information into reporting tables, converting C stock changes to emissions or
removals of CO2 and entering non-CO2 greenhouse gas emissions, by land-use categories, if available.
Combine with any emission estimates that are based on national aggregate data (e.g. livestock, manure
management and soil management/amendment) to estimate the total emissions and removals for the
AFOLU sector (See Volume 1 Chapter 8, Reporting Guidance and Tables).

32
33
34

10. Document and archive all information used to produce an inventory, including activity and other input
data, emission factors, sources of data and metadata documentation, methods descriptions and model
software or code, QA/QC procedures and reports, in addition to the results for each source category.

35
36
37

11. Set priorities for future inventories in AFOLU sector based on completeness of current inventories,
uncertainties, and issues arising during QA/QC. Revise key category analysis based on the newly
completed inventory to aid in decisions regarding future priorities.

39

1.4 ORGANISATION OF VOLUME 4 IN 2006


GUIDELINES

40

The material in Volume 4 should be used as follows:

38

41
42
43
44
45
46

Chapter 2 describes generic methods for carbon pools and biomass burning that can be applied within
each of the six land-use categories, i.e., the methods are not specific to a particular land use. These
consist of estimating ecosystem C stock changes and CO2 and non-CO2 emissions from fires and
biomass burning. To avoid redundancy in the subsequent land-use specific chapters, Chapter 2 provides
guidance on choice of method and decision trees for Tier selection. Tier 1 equations are provided along
with tables of generic emission factors and other parameters.

47
48
49
50

Chapter 3 deals with the consistent representation of land. In particular, the multiple approaches for
classification of land-use categories are presented in this chapter, along with the level of disaggregation.
Users will find this material helpful for understanding the general issues surrounding representation of
systems, which will be needed later in order to use the estimation methods that are specific to a

Draft 2006 IPCC Guidelines for National Greenhouse Gas Inventories

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1
2
3

particular land-use and/or source category. After consulting Chapter 2 and Chapter 3, users should
proceed to the appropriate chapter addressing the issues specific to a particular land-use or source
category.

4
5
6

Chapters 4-9 provide information for specific land-use categories. These chapters contain information
on the application of the generic methods described in Chapter 2 and they also contain full method
descriptions and application for any land-use specific methods.

7
8
9

Chapter 4 deals with estimation of emissions and removals from forest lands. Separate
sections cover forest land remaining forest land and land converted to forest land. Harvested
wood products are addressed separately in Chapter 12.

10
11
12

Chapter 5 deals with estimation of emissions and removals from cropland. Separate sections
cover cropland remaining cropland and land converted to cropland. Methane production from
rice cultivation, which is specific to cropland, is also addressed in this chapter.

13
14

Chapter 6 deals with estimation of emissions and removals from the grassland. Separate
sections cover grassland remaining grassland and land converted to grassland.

15
16
17
18

Chapter 7 deals with estimation of emissions and removals from wetlands, including peat
extraction in natural peatlands and flooded lands. Methods specific to wetlands, for estimation
of CO2, are provided with a basis for future methodological development for CH4 emissions in
an Appendix.

19
20

Chapter 8 deals with estimation of emissions and removals from settlements. Separate sections
cover settlements remaining settlements and land converted to settlements.

21
22
23
24
25
26

Chapter 9 deals with Other land, which includes areas with bare soil, rock, and ice, in
addition to all land areas that do not fall into the other five land-use categories treated in
Chapters 4 to 8. Since greenhouse gas emissions and removals are not reported for unmanaged
lands, methods and guidance in this chapter apply only to lands converted to other land, for
example, from extreme degradation of forest, cropland or grassland to barren land that is no
longer managed for useful purposes.

27
28

Chapter 10 provides guidance on livestock related emissions, including methane emissions from enteric
fermentation and CH4 and N2O (direct and indirect) emissions from manure management.

29
30
31
32
33

Chapter 11 provides guidance for emissions sources from managed soils, associated primarily with
application of fertilizer, crop residues, manure, lime and urea to soils. Specifically, methods and
guidance are provided for estimating N2O emissions from managed soils and CO2 emissions from
liming and urea applications. Activity data for these sources are typically not broken out by individual
land use, hence Tier 1 methods are based on (national) aggregate data.

34
35
36

Chapter 12 provides methodological guidance for estimation of C stock changes and emissions from
harvested wood products, and is neutral with regards to the multiple alternative approaches to inventory
estimation that are given.

37
38

Figure 1.4 presents the structure of AFOLU reporting with categories (including category codes) that are listed in
Table 8.2 of Volume 1.

39
40
41
42

Annex 1 provides worksheets for each sub-category that can be used to estimate emissions based on Tier 1
methods and appropriate emission/stock change factors and activity data. The Reporting Tables for the
greenhouse gas emissions/removals at sectoral and national levels are provided in Volume 1 Chapter 8 of the
Guidelines.

43

Annex 2 is the summary of all equations in AFOLU that serves as quick reference for inventory compilers.

44
45
46

Table 1.2 provides the summary information as to what carbon pools and activities emitting non-CO2 gases in
each land-use category are treated under Tier 1 methods; in what section in AFOLU Volume the guidance are
discussed, and their reference to the 1996 Guidelines.

47

1.16

Draft 2006 IPCC Guidelines for National Greenhouse Gas Inventories

Chapter 1: Introduction

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Figure 1.4 Structure of AFOLU Reporting

2
3
4
5
6

Draft 2006 IPCC Guidelines for National Greenhouse Gas Inventories

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1
TABLE 1.2
LAND-USE CATEGORIES, CARBON POOLS AND NON-CO2 GASES TO BE ESTIMATED UNDER TIER 1, THEIR RELEVANCE TO
AFOLU SECTIONS, AND THE REFERENCE TO 1996 GUIDELINES
Land-use
category/
Chapter
Forest land
(Chapter 4)

Sub-category

Forest land
Remaining Forest
land (FF)

Land Converted to
Forest land (LF)

Cropland
(Chapter 5)

Cropland remaining
Cropland (CC)

Land Converted to
Cropland (LC)

Grassland
(Chapter 6)

Grassland
Remaining
Grassland (GG)

Land Converted to
Grassland (LG)

C-pool & non-CO2


gases

Methods
Section

Chapter 2
Methods

Linkage to
1996
Guideline

Tier 1
Methods

Above-ground biomass

4.2.1

2.3.1.1

5A

Below-ground biomass

4.2.1

2.3.1.1

NE

Dead organic matter

4.2.2

2.3.2.1

NE

Soil Carbon

4.2.3

2.3.3.1

5D

Non-CO2 from biomass


burning

4.2.4

2.4.1

NE

Above-ground biomass

4.3.1

2.3.1.2

5A, 5C

Below-ground biomass

4.3.1

2.3.1.2

NE

Dead organic matter

4.3.2

2.3.2.2

NE

Soil Carbon

4.3.3

2.3.3.1

5D

Non-CO2 from biomass


burning

4.3.4

2.4.1

4E, 4F

Above-ground biomass

5.2.1

2.3.1.1

5A

Dead organic matter

5.2.2

2.3.2.1

NE

Soil Carbon

5.2.3

2.3.3.1

5D

Non-CO2 from crop


residue burning

5.2.4

2.4.1

4F

Methane emissions from


rice

5.5

4C

Above-ground biomass

5.3.1

2.3.1.2

5B

Dead organic matter

5.3.2

2.3.2.2

NE

Soil Carbon

5.3.3

2.3.3.1

5D

Non-CO2 from biomass


(crop residue) burning

5.3.4

2.4

4E, 5B

Above-ground biomass

6.2.1

2.3.1.1

5A

Dead organic matter

6..2.2

2.3.2.1

NE

Soil Carbon

6.2.3

2.3.3.1

5D

Non-CO2 from biomass


burning

6.2.4

2.4

4E

Above-ground biomass

6.3.1

2.3.1.2

5B

Dead organic matter

6.3.2

2.3.2.2

NE

Soil Carbon

6.3.3

2.3.3.1

5D

Non-CO2 from biomass


burning

6.3.4

2.4

4F, 5B

2
3

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Draft 2006 IPCC Guidelines for National Greenhouse Gas Inventories

Chapter 1: Introduction

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1
TABLE 1.2 (CONTINUED)
LAND-USE CATEGORIES, CARBON POOLS AND NON-CO2 GASES TO BE ESTIMATED UNDER TIER 1, THEIR RELEVANCE TO
AFOLU SECTIONS, AND THE REFERENCE TO 1996 GUIDELINES
Land-use
category/
Chapter
Wetlands
(Chapter 7)

Settlements
(Chapter 8)

Sub-category

Methods
Section

Chapter 2
Methods

Linkage
to 1996
Guideline

Tier 1
Methods

CO2 emissions

7.2.1.1

NE

Non-CO2 emissions

7.2.1.2

NE

Land being
converted for peat
extraction

CO2 emissions

7.2.2.1

NE

NA

Non-CO2 emissions

7.2.2.2

NE

Flooded lands
remaining flooded
lands

CO2 emissions

NG

NE

Appendix
2

NE

7.3.2

NE

Appendix
2

Peatlands
remaining
peatlands

Non-CO2 emissions

Land converted to
flooded lands

CO2 emissions

Settlements
remaining
Settlements (SS)

Above-ground
biomass

8.2.1

2.3.1.1

5A

Dead organic matter

8.2.2

2.3.2.1

NE

Soil Carbon

8.2.3

2.3.3.1

NE

Above-ground
biomass

8.3.1

2.3.1.2

5B

Dead Organic Matter

8.3.2

2.3.2.2

NE

Soil Carbon

8.3.3

2.3.3.1

NE

Above-ground
biomass

9.3.1

2.3.3.2

5B

Dead Organic Matter

9.3.2

2.3.2.2

NE

NA

Soil Carbon

9.3.3

2.3.3.1

NE

Land converted to
Settlements (LS)

Other land
(Chapter 9)

C-pool & non-CO2


gases

Land converted to
Other land (LO)

Non-CO2 emissions

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1
TABLE 1.2 (CONTINUED)
LAND-USE CATEGORIES, CARBON POOLS AND NON-CO2 GASES TO BE ESTIMATED UNDER TIER 1, THEIR RELEVANCE TO
AFOLU SECTIONS, AND THE REFERENCE TO 1996 GUIDELINES
Land-use
category/
Chapter
Livestock
(Chapter 10)

Managed soils
(Chapter 11)

Harvested
wood products
(Chapter 12)

Sub-category

C-pool & non-CO2


gases

Methods
Section

Chapter 2
Methods

Linkage
to 1996
Guideline

Tier 1
Methods

Enteric
fermentation

CH4 emissions

10.3

4A

Manure
Management

CH4 emissions

10.4

4B

N2O emissions

10.5

4B

Soil management

N2O emissions

11.2

4D

Liming

CO2 emissions

11.3

Urea application

CO2 emissions

11.4

NE

Wood products

C stock changes

Chapter
12

NE

The IPCC Guidelines cover the following categories: 5A Changes in Forest and Other Woody Biomass Stocks; 5B Forest and Grassland
Conversion; 5C Abandonment of Managed Lands; 5D Emissions and Removals from Soils, and 5E Other (Reporting Instructions p. 1.14 1.16)
NE: not estimated under default method in the 1996 Guideline
NG no guidance provided in the Guidelines

Notes for column Tier 1 method:


- Tier 1 methods and default parameters are available in the Guidelines.
0 = Tier 1 (default) assumption is that emissions are zero or in equilibrium; no methods and parameters are provided in the Guidelines.
1 = Tier 1 and default parameters available only for organic soils.
2 = Tier 1 method available to estimate HWP variables which may be used to compute HWP Contribution to AFOLU.
NA not applicable

2
3
4

1.20

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Chapter 1: Introduction

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ANNEX 1A HISTORICAL BACKGROUND ON IPCC


GREENHOUSE GAS INVENTORY GUIDANCE FOR
AFOLU SECTOR

1A.1 Revised 1996 IPCC Guidelines

1
2

5
6
7
8
9
10
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The emission and removal categories covered together in Volume 4 of the 2006 Guidelines were previously
separated in different chapters of the 1996 Guidelines: Chapter 4 (Agriculture) and Chapter 5 (Land-use Change
and Forestry, LUCF). The fundamental basis for the methodology in LUCF rested upon two linked themes: i)
that the flux of CO2 to and from the atmosphere can be equated to changes in terrestrial carbon stocks and
product pools and ii) changes in carbon stocks can be estimated by determining land use and management (e.g.,
logging, burning, tillage, grazing, etc.) at various points in time. Simple assumptions are then applied about their
impact on carbon stocks and biological response to a given land-use and management system. In contrast, the
Agricultural chapter dealt only with direct flux estimates from different source categories and therefore did not
incorporate the stock change concept.

14

A GRICULTURE (C HAPTER 4

15
16

The 1996 Guidelines focused on activities associated with managed agricultural systems and that are potentially
large sources of emissions in a country, including:

17
18
19

CH4 emissions from enteric fermentation in domestic livestock. Methane is produced as a by-product of
enteric fermentation, where ruminant animals (e.g., cattle, sheep) are the major source but some nonruminant animals (e.g., pigs, horses) also emit CH4.

20
21
22

CH4 and N2O emissions from manure management. Methane is produced from the decomposition of
manure under anaerobic conditions while N2O is produced under aerobic or mixed aerobic/anaerobic
conditions. Hence emissions of each gas depend on the type of manure and the storage system.

23
24
25
26

CH4 emissions from rice cultivation. Anaerobic decomposition of organic material in flooded rice fields
produces methane, which escapes to the atmosphere primarily through air-bubbles and by transport through
the rice plants. The amount emitted is a function of rice species, number and duration of harvests, soil type
and temperature, irrigation method, and fertilizer use.

27
28
29
30

CH4, N2O, CO, NOX emissions from prescribed burning of savannas (or other types of grassland) and
crop residues. Burning of savannas and crop residues does not create a net-release of CO2 to the
atmosphere because vegetation regrows between burning cycles. However, burning releases other gases that
are either direct or indirect sources of greenhouse gases, including CH4, N2O, CO, and NOx.

31
32
33
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35

Emissions of N2O from soils. Produced through microbial processes in soils, emissions are largely a
function of the amount of nitrogen added to soils from (1) synthetic fertilizers, (2) animal waste, (3)
biological fixation, (4) crop residues, and (5) sewage sludge or other organic N additions, which can be
emitted directly where the N is applied, or indirectly, from N leached as NO3 or volatilized as NH3 and
NOx and redeposited in other locations.

36

LUCF (C HAPTER 5

37
38

The inventory methods for Land-use Change and Forestry (LUCF) focused on the most important land-use and
management changes that result in CO2 emissions and removals, including four broad categories:

39
40
41
42

Changes in forest and other woody biomass stocks. Effects of human interaction with forests and wood
products are considered in a single broad category, which includes commercial management, harvest of
industrial roundwood (logs) and fuelwood, production and use of wood commodities, and establishment and
operation of forest plantations as well as planting of trees in urban, village and other non-forest locations.

43
44
45

Forest and grassland conversion. Conversion of forests and grasslands to pasture, cropland or other
managed land uses, can significantly reduce carbon stores in biomass and soils. Deforestation is an example
of this type of conversion.

IN THE

IN THE

R EVISED 1996 G UIDELINES )

R EVISED 1996 G UIDELINES )

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Abandonment of managed lands (croplands, pastures, plantation forests, or other managed lands).
Abandoned lands often accrue carbon in biomass and soils over time, particularly if the conditions approach
those found in natural grasslands or forests.

4
5
6

CO2 Emissions and removals from soils. Changing management can alter the CO2 emissions and
removals from soils, particularly through adoption of conservation practices or increasing crop and forage
production.

7
8
9
10

The 1996 Guidelines briefly described general issues and methodological approaches for other possible
categories such as below-ground biomass, natural disturbances (including fire), shifting cultivation and flooding
and drainage of wetlands. The methods also addressed release of non-CO2 trace gases (CH4, CO, N2O, NOx)
from the open burning of biomass from forest clearing.

11
12

1A.2 Good Practice Guidance and Uncertainty Management


in National Greenhouse Gas Inventories (GPG2000)

13
14
15
16

GPG2000 provided supplementary information to the 1996 Guidelines to improve inventory transparency,
documentation, consistency over time, completeness, and comparability. GPG2000 also provided methods for
addressing uncertainties and implementing quality control and quality assurance. In the Agriculture sector,
guidance was provided for all of the emission sources included in the 1996 Guidelines (see above).

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21

GPG2000 introduced a method for identifying key sources that should be given high priority because of their
significance in affecting the absolute level or trend in emissions, their uncertainty, or qualitative factors such as
unexpectedly high or low estimates. The goal of this method is to provide practical guidance on how to develop
a national inventory with an efficient use of resources, identifying sources that are candidates for using a more
detailed (higher tier) estimation method.

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23

1A.3 Good Practice Guidance for Land Use, Land-use


Change and Forestry (GPG-LULUCF)

24
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27
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31
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34

GPG-LULUCF elaborated on the 1996 Guidelines to adopt an approach based on land-use categories for
organizing the methodologies and good practices associated with estimating emissions and removals in the Land
Use, Land-use Change and Forestry (LULUCF) sector, including forest land, cropland, grassland, wetlands,
settlements and other land. Each land category was further sub-divided into land remaining in the same category
(e.g., forest land remaining forest land) or land converted to another land category (e.g., grassland converted to
forest land). Methods for estimating carbon stock changes associated with harvested wood products (HWP) were
included as an appendix, reflecting the unresolved issues and ongoing negotiations of including HWP in national
inventories. As with GPG2000, GPG-LULUCF adopted the hierarchical Tier approach for methods descriptions,
as well as the concept of key source categories, and similarly included guidance on quality assurance
(QA)/quality control (QC), reconstruction of missing data, time series consistency, sampling techniques,
quantification and combination of uncertainties, and verification.

35

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2
3
4
5

CHAPTER 2

GENERIC METHODOLOGIES
APPLICABLE TO MULTIPLE LANDUSE CATEGORIES

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Authors

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3
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Harald Aalde (Norway), Patrick Gonzalez (USA), Michael Gytarsky (Russia), Thelma Krug (Brazil), Werner A.
Kurz (Canada), Rodel Lasco (Philippines), Daniel L. Martino (Uruguay), Brian G. McConkey (Canada),
Stephen M. Ogle (USA), Keith Paustian (USA), John Raison (Australia), N.H. Ravindranath (India), Dieter
Schoene (FAO), Pete Smith (UK), Zoltan Somogyi (European Commission/Hungary), Andre van Amstel (The
Netherlands), and Louis Verchot (ICRAF/USA)

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Contents

2.1 Introduction...................................................................................................................................................... 6

2.2

Inventory Framework.................................................................................................................................. 6

2.2.1 Overview of carbon stock change estimation............................................................................................. 6

2.2.2 Overview of non-CO2 emission estimation.............................................................................................. 10

2.2.3 Conversion of C stock changes to CO2 emissions.................................................................................... 11

7
8

2.3

Generic methods for CO2 Emissions and Removals ................................................................................. 11

2.3.1

Change in biomass carbon stocks (above-ground biomass and below-ground biomass)................... 11

2.3.1.1 Land remaining in a land-use category ............................................................................................. 12

10

2.3.1.2 Land converted to a new land-use category ...................................................................................... 19

11

2.3.2 Change in carbon stocks in dead organic matter ...................................................................................... 21

12

2.3.2.1 Land remaining in a land-use category ............................................................................................. 21

13

2.3.2.2 Land Conversion to a new land-use category.................................................................................... 26

14

2.3.3 Change in carbon stocks in soils .............................................................................................................. 28

15
16

2.3.3.1 Soil C Estimation Methods (Land Remaining in a Land-Use Category and


Land Conversion to a New Land-Use).............................................................................................. 29

17

2.4 Non-CO2 emissions......................................................................................................................................... 41

18

2.5 Additional Generic Guidance for Tier 3 Methods........................................................................................... 51

19

2.5.1 Measurement-Based Tier 3 Inventories ................................................................................................... 51

20

2.5.2 Model-Based Tier 3 Inventories............................................................................................................... 53

21

22

Equations

23
24

Equation 2.1 Annual carbon stock changes for the entire afolu sector estimated as the sum
of changes in all land-use categories...................................................................................6

25
26

Equation 2.2 Annual carbon stock changes for a land-use category as a sum of changes in
each stratum within the category.........................................................................................7

27
28

Equation 2.3 Annual carbon stock changes for a stratum of a land-use category as a sum of
changes in all pools .............................................................................................................7

29
30

Equation 2.4 Annual carbon stock change in a given pool as a function of gains and losses
(Gain-Loss Method)..........................................................................................................10

31
32

Equation 2.5 Carbon stock change in a given pool as an annual average difference between
estimates at two points in time (Stock-Difference Method)..............................................10

33

Equation 2.6 Non-CO2 emissions to the atmosphere .................................................................................11

34
35

Equation 2.7 Annual change in carbon stocks in biomass in land remaining in a particular
land-use category (Gain-Loss Method).............................................................................12

36
37

Equation 2.8 Annual change in carbon stocks in biomass in land remaining in the same
land-use category (Stock-difference Method)...................................................................13

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Equation 2.9 Annual increase in biomass carbon stocks due to biomass increment in
land remaining in same category........................................................................................14

Equation 2.10 Average annual increment in biomass .................................................................................16

4
5

Equation 2.11 Annual decrease in carbon stocks due to biomass losses in land remaining in same
category..............................................................................................................................17

Equation 2.12 Annual carbon loss in biomass of wood removals ..............................................................17

Equation 2.13 Annual carbon loss in biomass of fuelwood removal..........................................................18

Equation 2.14 Annual carbon losses in biomass due to disturbances ........................................................18

9
10

Equation 2.15 Annual change in biomass carbon stocks on land converted to other
land-use category (Tier 2) .................................................................................................20

11

Equation 2.16 Initial change in biomass carbon stocks on land converted to another land category .........21

12

Equation 2.17 Annual change in carbon stocks in dead organic matter......................................................22

13

Equation 2.18 Annual change in carbon stocks in dead wood or litter (Gain-Loss Method)......................22

14

Equation 2.19 Annual change in carbon stocks in dead wood or litter (Stock-Difference Method)...........24

15

Equation 2.20 Annual carbon in biomass transferred to dead organic matter.............................................24

16

Equation 2.21 Annual biomass carbon loss due to mortality......................................................................25

17

Equation 2.22 Annual carbon transfer to slash ...........................................................................................26

18

Equation 2.23 Annual change in carbon stocks in dead wood and litter due to land conversion................27

19

Equation 2.24 Annual change in carbon stocks in soils..............................................................................30

20

Equation 2.25 Annual change in organic carbon stocks in mineral soils....................................................31

21

Equation 2.26 Annual Carbon loss from drained organic soils (CO2) .......................................................36

22

Equation 2.27 estimation of greenhouse gas emissions from fire...............................................................43

23

Figures

24

25
26
27

Figure 2.1

Generalized carbon cycle of terrestrial AFOLU ecosystems showing


the flows of carbon into and out of the system as well as between
the five C pools within the system. .....................................................................................8

28
29

Figure 2.2

Generic decision tree for identification of appropriate tier to estimate


changes in carbon stocks in biomass in a land-use category..............................................15

30
31

Figure 2.3

Generic decision tree for identification of appropriate tier to estimate


changes in carbon stocks in dead organic matter for a land-use category.........................23

32
33

Figure 2.4

Generic decision tree for identification of appropriate tier to estimate


changes in carbon stocks in mineral soils by land-use category .......................................33

34
35

Figure 2.5

Generic decision tree for identification of appropriate tier to estimate


changes in carbon stocks in organic soils by land-use category........................................34

36
37

Figure 2.6

Generic decision tree for identification of appropriate tier to estimate greenhouse


gas emissions from fire in a land-use category .................................................................45

38

Figure 2.7

Steps to develop a Tier 3 model-based inventory estimation system.................................53

39

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Tables

Table 2.1 Example of a simple matrix (Tier 2) for the impacts of disturbances on carbon pools...............19

Table 2.2 Tier 1 default values for litter and dead wood carbon stocks (tonnes C ha-1) ............................28

4
5

Table 2.3 Default reference (under native vegetation) soil organic C stocks (SOCREF) for
Mineral Soils (tonnes C ha-1 in 0-30 cm depth) ...............................................................32

6
7

Table 2.4 Fuel (Dead organic matter plus live biomass)Biomass consumption values
(tonnes dry matter ha-1) for fires in a range of vegetation types.......................................46

8
9
10

Table 2.5 Emission factors (g kg-1 dry matter burned) for various types of burning.
Values are means SD and are based on the comprehensive review
by Andreae and Merlet (2001) ..........................................................................................48

11
12

Table 2.6 Combustion factor values (proportion of prefire fuel biomass consumed) for fires
in a range of vegetation types............................................................................................49

13

14

Box

15
16

Box 2.1 Alternative formulations of Equation 2.25 for Approach 1 activity data versus Approach 2 or 3 activity
data with transition matrices ................................................................................................................................. 35

17
18

Box 2.2 Comparison between use of Approach 1 aggregate statistics and Approach 2 or 3 activity data with
transition matrices .................................................................................................................................................37

19

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2.1 INTRODUCTION

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3
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9

Methods to estimate greenhouse gas emissions and removals in the Agriculture, Forestry and Other Land Use
(AFOLU) sector can be divided into two broad categories: 1) methods that can be applied in a similar way for
any of the types of land use (i.e., generic methods for forest land, cropland, grassland, wetland, settlement and
other land); and 2) methods that only apply to a single land use or that are applied to aggregate data on a
national-level, without specifying land use. Chapter 2 provides mainly descriptions of generic methodologies
under category (1) for estimating ecosystem carbon stock changes as well as for estimating non-CO2 fluxes from
fire. These methods can be applied for any of the six land-use categories. Generic information on methods
includes:

10

general framework for applying the methods within specific land-use categories;

11
12

choice of methods, including equations and default values for Tier 1 methods for estimating C stock
changes and non-CO2 emissions;

13

general guidance on use of higher Tier methods;

14

use of EFDB (Emission Factor Data Base); and

15

uncertainty estimation.

16
17
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19

Specific details and guidance on implementing the methods for each of the land-use and land-use conversion
categories, including choosing emission factors, compiling activity data and assessing uncertainty, are given in
the chapters on specific land-use categories (see Chapters 4-9). Guidance on inventory calculations for each
specific land use refers back to this chapter for description of methods where they are generic.

20

2.2 INVENTORY FRAMEWORK

21
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27

This section outlines a systematic approach for estimating carbon stock changes (and associated emissions and
removals of CO2) from biomass, dead organic matter and soils, as well as for estimating non-CO2 greenhouse
gas emissions from fire. General equations representing the level of land-use categories and strata are followed
by a short description of processes with more detailed equations for carbon stock changes in specific pools by
land-use category. Principles for estimating non-CO2 emissions and common equations are then given. Specific,
operational equations to estimate emissions and removals by processes within a pool and by category, which
directly correspond to worksheet calculations, are provided in Sections 2.3 and 2.4.

28

2.2.1 Overview of carbon stock change estimation

29
30
31

The emissions and removals of CO2 for the AFOLU sector, based on changes in ecosystem C stocks, are
estimated for each land-use category (including both land remaining in a land-use category as well as land
converted to another land use). Carbon stock changes are summarized by Equation 2.1.

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35

EQUATION 2.1
ANNUAL CARBON STOCK CHANGES FOR THE ENTIRE AFOLU SECTOR ESTIMATED AS THE SUM OF
CHANGES IN ALL LAND-USE CATEGORIES

36

C AFOLU = C FL + C CL + C GL + CWL + C SL + C OL

37

Where:

38

C = carbon stock change

39

Indices denote the following land-use categories:

40

AFOLU = Agriculture, Forestry and Other Land Use

41

FL = Forest land

42

CL = Cropland

43

GL = Grassland

44

WL = Wetlands

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SL = Settlements

OL = Other land

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For each land-use category, carbon stock changes are estimated for all strata or subdivisions of land area (e.g.
climate zone, ecotype, soil type, management regime etc., see Chapter 3) chosen for a land-use category
(Equation 2.2). Carbon stock changes within a stratum are estimated by considering carbon cycle processes
between the five carbon pools, as defined in Table 1.1 in Chapter 1and (see below). The generalized flowchart
of the carbon cycle (Figure 2.1) shows all five pools and associated fluxes including inputs to and outputs from
the system, as well as all possible transfers between the pools. Overall, carbon stock changes within a stratum are
estimated by adding up changes in all pools as in Equation 2.3. Further, carbon stock changes in soil may be
disaggregated as to changes in C stocks in mineral soils and emissions from organic soils. Harvested wood
products (HWP) are also included as an additional pool.

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14
15
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EQUATION 2.2
ANNUAL CARBON STOCK CHANGES FOR A LAND-USE CATEGORY AS A SUM OF CHANGES IN EACH
STRATUM WITHIN THE CATEGORY

C LU = C LU I

17

18

Where:

19

CLU = carbon stock changes for a land-use (LU) category as defined in Equation 2.1.

20
21

i denotes a specific stratum or subdivision within the land-use category (by any combination of species,
climatic zone, ecotype, management regime etc., see Chapter 3), i = 1 to n.

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24
25

EQUATION 2.3
ANNUAL CARBON STOCK CHANGES FOR A STRATUM OF A LAND-USE CATEGORY AS A SUM OF

26

C LU i = C AB + C BB + C DW + C LI + C SO + C HWP

CHANGES IN ALL POOLS

27

Where:

28

CLUi = carbon stock changes for a stratum of a land-use category,

29

Subscripts denote the following carbon pools:

30

AB = Above-ground biomass

31

BB = Below-ground biomass

32

DW = Deadwood

33

LI = Litter

34

SO = Soils

35

HWP = Harvested Wood Products

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42

Estimating changes in carbon pools and fluxes depends on data and model availability, as well as resources and
capacity to collect and analyze additional information (See Chapter 1, Section 1.3.3 on Key Category analysis).
Table 1.1 in Chapter 1 outlines which pools are relevant for each land-use category for Tier 1 methods, including
cross references to reporting tables. Depending on country circumstances and which tiers are chosen, stock
changes may not be estimated for all pools shown in Equation 2.3. Because of limitations to deriving default
data sets to support estimation of some stock changes, Tier 1 methods include several simplifying assumptions:

43

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2
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Figure 2.1 Generalized carbon cycle of terrestrial AFOLU ecosystems showing the flows of
carbon into and out of the system as well as between the five C pools within the
system.

4
5
6
7

Harvested
Wood
Products

8
9

2.8

Aboveground
biomass

Litter

Belowground
biomass

Deadwood

Increase of carbon
stocks due to growth

Transfer of carbon
between pools

Carbon fluxes due to


discrete events, i.e., from
harvest residues and
natural disturbance

Carbon fluxes due to


continuous
processes, i.e.
decomposition

Soil Organic
Matter

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4

change in below-ground biomass C stocks are assumed to be zero under Tier 1 (under Tier 2, countryspecific data on ratios of below- to above-ground biomass can be used to estimate below-ground stock
changes)

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under Tier 1, dead wood and litter pools are often lumped together as dead organic matter (see discussion
below)

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dead organic matter stocks are assumed to be zero for non-forest land-use categories under Tier 1. For forest
land converted to another land use, default values for estimating dead organic matter carbon stocks are
provided in Tier 1.

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The carbon cycle includes changes in carbon stocks due to both continuous processes (i.e. growth, decay) and
discrete events (i.e. disturbances like harvest, fire, insect outbreaks, land-use change and other events).
Continuous processes can affect carbon stocks in all areas in each year, while discrete events (i.e. disturbances)
cause emissions and redistribute ecosystem carbon in specific areas (i.e., where the disturbance occurs) and in
the year of the event.

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Disturbances may also have long-lasting effects, such as decay of wind-blown or burnt trees. For practicality,
Tier 1 methods assume that all post-disturbance emissions (less removal of harvested wood products) are
estimated as part of the disturbance event, i.e., in the year of the disturbance. For example, rather than estimating
the decay of dead organic matter left after a disturbance over a period of several years, all post-disturbance
emissions are estimated in the year of the event.

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Under Tier 1, it is assumed that the average transfer rate into dead organic matter (dead wood and litter) is equal
to the average transfer rate out of dead organic matter, so that the net stock change is zero. This assumption
means that dead organic matter (dead wood and litter) carbon stocks need not be quantified under Tier 1 for land
areas that remain in a land-use category1. The rationale for this approach is that dead organic matter stocks,
particularly dead wood, are highly variable and site-specific, depending on forest type and age, disturbance
history and management. In addition, data on coarse woody debris decomposition rates are scarce and thus it
was deemed that globally applicable default factors and uncertainty estimates can not be developed. Countries
experiencing significant changes in forest types or disturbance or management regimes in their forests are
encouraged to develop domestic data to estimate the impact from these changes using Tier 2 or 3 methodologies
and to report the resulting carbon stock changes and non-CO2 emissions and removals.

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All estimates of changes in carbon stocks, i.e. growth, internal transfers and emissions, are in units of carbon to
make all calculations consistent. Data on biomass stocks, increments, harvests, etc. can initially be in units of dry
matter that need to be converted to tonnes of carbon for all subsequent calculations. There are two fundamentally
different and equally valid approaches to estimating stock changes: 1) the process-based approach, which
estimates the net balance of additions to and removals from a carbon stock; and 2) the stock-based approach,
which estimates the difference in carbon stocks at two points in time.

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Annual carbon stock changes in any pool can be estimated using in the process-based approach using Equation
2.4, which sets out the Gain-Loss Method that can be applied to all carbon gains or losses. Gains can be
attributed to growth (increase of biomass) and to transfer of carbon from another pool (e.g. transfer of carbon
from the live biomass carbon pool to the dead organic matter pool due to harvest or natural disturbances). Gains
are always marked with a positive (+) sign. Losses can be attributed to transfers of carbon from one pool to
another (e.g. the carbon in the slash during a harvesting operation is a loss from the above-ground biomass pool),
or emissions due to decay, harvest, burning etc. Losses are always marked with a negative (-) sign.

43

Emissions from litter C stocks are accounted for under Tier 1 for forest conversion to other land-use.

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EQUATION 2.4
ANNUAL CARBON STOCK CHANGE IN A GIVEN POOL AS A FUNCTION OF GAINS AND LOSSES
(GAIN-LOSS METHOD)

C = C G C L

Where:

C = annual carbon stock change in the pool, tonnes C yr-1

CG = annual gain of carbon, tonnes C yr-1

CL = annual loss of carbon, tonnes C yr-1

9
10
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12
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14

Note that CO2 removals are transfers from the atmosphere to a pool, whereas CO2 emissions are transfers from a
pool to the atmosphere. Not all transfers involve emissions or removals, since any transfer from one pool to
another is a loss from the donor pool, but is a gain of equal amount to the receiving pool. For example, a transfer
from the above-ground biomass pool to the dead wood pool is a loss from the above-ground biomass pool and a
gain of equal size for the deadwood pool, which does not necessarily result in immediate CO2 emission to the
atmosphere (depending on the Tier used).

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18

The method used in Equation 2.4 is called the Gain-Loss Method, because it includes all processes that bring
about changes in a pool. An alternative stock-based approach is termed the Stock-Difference Method, which can
be used where carbon stocks in relevant pools are measured at two points in time to assess carbon stock changes,
as represented in Equation 2.5.

19
EQUATION 2.5
CARBON STOCK CHANGE IN A GIVEN POOL AS AN ANNUAL AVERAGE DIFFERENCE BETWEEN
ESTIMATES AT TWO POINTS IN TIME (STOCK-DIFFERENCE METHOD)

20
21
22

C =

23

(C t2 C t1 )
(t 2 t1 )

24

Where:

25

C = annual carbon stock change in the pool, tonnes C yr-1

26

Ct1 = carbon stock in the pool at time t1, tonnes C

27

Ct2 = carbon stock in the pool at time t2, tonnes C

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If the C stock changes are estimated on a per hectare basis, then the value is multiplied by the total area within
each stratum to obtain the total stock change estimate for the pool. In some cases, the activity data may be in the
form of country totals (e.g. harvested wood) in which case the stock change estimates for that pool are estimated
directly from the activity data after applying appropriate factors to convert to units of C mass. When using the
Stock-Difference Method for a specific land-use category, it is important to ensure that the area of land in that
category at times t1 and t2 is identical, to avoid confounding stock change estimates with area changes.

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The process method lends itself to modelling approaches using coefficients derived from empirical research data.
These will smooth out inter-annual variability to a greater extent than the stock change method which relies on
the difference of stock estimates at two points in time. Both methods are valid so long as they are capable of
representing actual disturbances as well as continuously varying trends, and can be verified by comparison with
actual measurements.

39

2.2.2 Overview of non-CO2 emission estimation

40
41
42
43
44
45

Non-CO2 emissions are derived from a variety of sources, including emissions from soils, livestock and manure
and from combustion of biomass, dead wood and litter. In contrast to the way CO2 emissions are estimated from
biomass stock changes, the estimate of non-CO2 greenhouse gases usually involves an emission rate from a
source directly to the atmosphere. The rate (Equation 2.6) is generally determined by an emission factor for a
specific gas (e.g. CH4, N2O) and source category and an area (e.g. for soil or area burned), population (e.g. for
livestock) or mass (e.g. for biomass or manure) that defines the emission source.

46

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EQUATION 2.6
NON-CO2 EMISSIONS TO THE ATMOSPHERE

Emission = A EF

Where:

Emission = non- CO2 emissions, tonnes of the non-CO2 gas

6
7

A = activity data relating to the emission source (can be area, animal numbers or mass unit, depending on
the source type)

EF = emission factor for a specific gas and source category, tonnes per unit of A

9
10
11
12
13
14
15
16

Many of the emissions of non-CO2 greenhouse gases are either associated with a specific land use (e.g., CH4
emissions from rice) or are typically estimated from national-level aggregate data (e.g., CH4 emissions from
livestock and N2O emissions from managed soils). Where an emission source is associated with a single land
use, the methodology for that emission is described in the chapter for that specific land-use category (e.g.
methane from rice in Chapter 5 on Cropland). Emissions that are generally based on aggregated data are dealt
with in separate chapters (e.g., Chapter 10 on livestock-related emissions and Chapter 11 on N2O and liming and
urea emissions of CO2 from managed soils). This chapter describes only methods to estimate non-CO2 (and CO2)
emissions from biomass combustion, which can occur in several different land-use categories.

17

2.2.3 Conversion of C stock changes to CO 2 emissions

18
19
20
21
22
23
24

For reporting purposes, changes in C stock categories (that involve transfers to the atmosphere) can be converted
to units of CO2 emissions by multiplying the C stock change by -44/12. In some cases, noted in this guidance, it
may be necessary to also account for significant non-CO2 losses of carbon. It should also be noted that not every
stock change corresponds to an emission. The conversion to CO2 from C, is based on the ratio of molecular
weights (44/12). The change of sign (-) is due to the convention that increases in C stocks, i.e. positive (+) stock
changes, represent a removal (or negative emission) from the atmosphere, while decreases in C stocks, i.e.
negative (-) stock changes, represent a positive emission to the atmosphere.

26

2.3 GENERIC METHODS FOR CO 2 EMISSIONS AND


REMOVALS

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28
29
30
31
32
33
34
35
36
37
38
39

As outlined in Section 2.2, emissions and removals of CO2 within the AFOLU sector are generally estimated on
the basis of changes in ecosystem carbon stocks. These consist of above- and below-ground biomass, dead
organic matter (i.e. dead wood and litter), and soil organic matter. Net losses in total ecosystem carbon stocks are
used to estimate CO2 emissions to the atmosphere, and net gains in total ecosystem carbon stocks are used to
estimate removal of CO2 from the atmosphere. Inter-pool transfers may be taken into account where appropriate.
Changes in carbon stocks may be estimated by direct inventory methods or by process models. Each of the C
stocks or pools can occur in any of land-use categories, hence general attributes of the methods that apply to any
land- use category are described here. In particular cases, losses in carbon stocks or pools may imply emissions
of non-CO2 gases such as methane, carbon monoxide, non-methane volatile organic carbon and others. The
methods for estimating emissions of these gases are provided in Section 2.4. It is good practice to check for
complete coverage of CO2 and non-CO2 emissions due to losses in carbon stocks or pools to avoid omissions or
double counting. Specific details regarding the application of these methods within a particular land-use category
are provided under the relevant land uses in Chapters 4 to 9.

25

40

42

2.3.1 Change in biomass carbon stocks (above-ground biomass


and below-ground biomass)

43
44
45
46
47
48
49

Plant biomass constitutes a significant carbon stock in many ecosystems. Biomass is present in both above- and
below-ground parts of annual and perennial plants. Biomass associated with annual and perennial herbaceous
(i.e. non-woody) plants is relatively ephemeral, i.e., it decays and regenerates annually or every few years. So
emissions from decay are balanced by removals due to re-growth making overall net C stocks in biomass rather
stable in the long term. Thus, the methods focus on stock changes in biomass associated with woody plants and
trees, which can accumulate large amounts of carbon (up to hundreds of tonnes per ha) over their lifespan.
Carbon stock change in biomass on forest land is likely to be an important sub-category because of substantial

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fluxes owing to management and harvest, natural disturbances and forest re-growth. In addition, land-use
conversions from forest land to other land uses often result in substantial loss of carbon from the biomass pool.
Trees and woody plants can occur in any of the six land-use categories although biomass stocks are generally
largest on forest land. For inventory purposes, changes in C stock in biomass are estimated for (i) land
remaining in the same land-use category and (ii) land converted to a new land-use category. The reporting
convention is that all emissions and removals associated with a land-use change are reported in the new land-use
category.

2.3.1.1 L AND

REMAINING IN A LAND - USE CATEGORY

9
10
11
12
13

Equation 2.3 includes the five carbon pools for which stock change estimates are required. This section presents
methods for estimating biomass carbon gains, losses and net changes. Gains include biomass growth in aboveground and below-ground components. Losses are categorized into wood fellings or harvest, fuelwood gathering,
and losses from natural disturbances on managed land such as fire, insect outbreaks and extreme weather events
(e.g. hurricanes, flooding). Two methods are provided for estimating carbon stock changes in biomass.

14
15
16
17
18

The Gain-Loss Method requires the biomass carbon loss to be subtracted from the biomass carbon gain
(Equation 2.7). This underpins the Tier 1 method, for which default values for calculation of increment and
losses are provided in this Volume to estimate stock changes in biomass. Higher tier methods use countryspecific data to estimate gain and loss rates. For all tiers, these estimates require country-specific activity data,
although for Tier 1, these data can be obtained from globally-compiled databases (e.g. FAO statistics).

19
20
21
22

EQUATION 2.7
ANNUAL CHANGE IN CARBON STOCKS IN BIOMASS
IN LAND REMAINING IN A PARTICULAR LAND-USE CATEGORY (GAIN-LOSS METHOD)

23

C B = CG C L

24

Where:

25
26

CB = annual change in carbon stocks in biomass (the sum of above-ground and below-ground biomass
terms in Equation 2.3) for each land sub-category, considering the total area, tonnes C yr-1

27
28

CG = annual increase in carbon stocks due to biomass growth for each land sub-category, considering
the total area, tonnes C yr-1

29
30

CL = annual decrease in carbon stocks due to biomass loss for each land sub-category, considering the
total area, tonnes C yr-1

31
32
33
34
35
36

The changes in C stock in biomass for land remaining in the same land-use category (e.g. forest land remaining
forest land) are based on estimates of annual gain and loss in biomass stocks. Countries using any of the three
tiers can adopt this method. This method can be used by countries that do not have national inventory systems
designed for estimating woody biomass stocks. Default data are provided in land-use category chapters for
inventory compilers who do not have access to country-specific data. Worksheets have also been developed
using the methods and equations (Annex 1).

37
38
39
40
41

The Stock-Difference Method requires biomass carbon stock inventories for a given land area, at two points in
time. Annual biomass change is the difference between the biomass stock at time t2 and time t1, divided by the
number of years between the inventories (Equation 2.8). In some cases, primary data on biomass may be in the
form of wood volume data, for example, from forest surveys, in which case factors are provided to convert wood
volume to carbon mass units, as shown in Equation 2.8.b.

42

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EQUATION 2.8
ANNUAL CHANGE IN CARBON STOCKS IN BIOMASS
IN LAND REMAINING IN THE SAME LAND-USE CATEGORY (STOCK-DIFFERENCE METHOD)

C B =

(Ct2 Ct1 )
(t 2 t1 )

(a)

where

C=

{ A

i, j

Vi , j BCEFSi , j (1 + Ri , j ) CFi , j }

(b)

i, j

Where:

8
9
10

CB = annual change in carbon stocks in biomass (the sum of above-ground and below-ground biomass
terms in Equation 2.3 ) in land remaining in the same category (e.g., forest land remaining forest
land), tonnes C yr-1

11

C t2 = total carbon in biomass for each land sub-category at time t2, tonnes C

12

C t1 = total carbon in biomass for each land sub-category at time t1, tonnes C

13

C = total carbon in biomass for time t1 to t2

14

A = area of land remaining in the same land-use category, ha (see note below)

15

V = merchantable growing stock volume, m3 ha-1

16

i = ecological zone i (i = 1 to n)

17

j= climate domain j (j = 1 to m)

18
19

20

CF = carbon fraction of dry matter, tonnes C (tonne d.m.)-1

21
22
23
24
25
26
27
28

BCEFS = biomass conversion and expansion factor for expansion of merchantable growing stock volume
to above-ground biomass, (see Table 4.5 for Forest Land). BCEFS transforms merchantable volume
of growing stock directly into its above-ground biomass. BCEFS values are more convenient because
they can be applied directly to volume-based forest inventory data and operational records, without
the need of having to resort to basic wood densities (D). They provide best results, when they have
been derived locally and based directly on merchantable volume. However, if BCEFS values are not
available and if the biomass expansion factor (BEFS) and D values are separately estimated, the
following conversion can be used:

= ratio of below-ground biomass to above-ground biomass, in tonnes d.m. below-ground biomass


(tonne above-ground d.m. biomass)-1

29

BCEFS = BEFS D

30
31
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40
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43

In applying the Gain-Loss or Stock-Difference methods, the relevant area is clearly the area of land remaining in
the relevant category at the end of the year for which the inventory is being estimated. Any other land will be in
a conversion category (see Section 2.3.1.2). The length of time that land remains in a conversion category after a
change in land use is by default 20 years (the time period assumed for carbon stocks to come to equilibrium for
the purposes of calculating default coefficients in the IPCC 1996 Guidelines and retained for the 2003 Good
Practice Guidance and used here also, though other periods may be used at higher Tiers according to national
circumstances). Under default assumptions therefore land will be transferred from a conversion category to a
remaining category after it has been in a given land use for 20 years. Some carbon stock changes will take place
in the year of conversion, but nevertheless it is important to be consistent about the period for which land stays in
the conversion category or the approaches to land area estimation described in the next Chapter will not work.
Stock changes that are completed within 1 year after conversion will be related to the area converted annually
and the relevant land areas may need to be treated as a sub-category within the conversion category but
nevertheless should remain in the conversion category until the 20 year default or other conversion time period is
completed.

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46
47
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49

The stock-difference method will be applicable in countries that have national inventory systems for forests and
other land categories, where the stocks of different biomass pools are measured at periodic intervals. The stockdifference method requires greater resources and many countries may not have national inventory systems for
forests and other land categories. This method is suitable to countries adopting a Tier 3 and in some cases a Tier
2 approach, but may not be suitable for countries using a Tier 1 approach due to limitations of data. It is
important to make sure that inventory system generates data on gains and losses of biomass carbon pools.

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4

Either of the above two methods can be used for estimating biomass carbon stock changes for all land categories
(e.g., forest land remaining forest land, grassland remaining grassland and cropland remaining cropland) where
perennial woody biomass may be present. Figure 2.2 can be used to assist inventory agencies in identifying the
appropriate tier to estimate changes in biomass carbon stocks.

5
6
7
8

Note that some biomass losses can lead to emissions of C other than as CO2, such as biomass consumption and
emission as methane (CH4) by termites and wild mammals.2 Default Tier 1 methods for these sources have not
been developed, and countries wishing to estimate and report these emissions should develop and employ a Tier
3 approach.

9
10
11

A.

METHODS FOR ESTIMATING CHANGE IN CARBON STOCKS IN


BIOMASS (C B )

12
13

A.1

Estimating Annual Increase in Biomass Carbon Stocks (Gain-Loss


Method), C G

14
15
16

This is the Tier 1 method that, when combined with default biomass growth rates, allows for any country to
calculate the annual increase in biomass, using estimates of area and mean annual biomass increment, for each
land-use type and stratum (e.g., climatic zone, ecological zone, vegetation type) (Equation 2.9).

17
18
19
20

EQUATION 2.9
ANNUAL INCREASE IN BIOMASS CARBON STOCKS DUE TO BIOMASS INCREMENT
IN LAND REMAINING IN SAME CATEGORY

CG = ( Ai , j GTOTALi , j CFi , j )

21

i, j

22

Where:

23
24

CG = annual increase in biomass carbon stocks due to biomass growth in land remaining in the same
land category by vegetation type and climatic zone, tonnes C yr-1

25

26

GTOTAL = mean annual biomass growth, tonnes dry matter ha-1 yr-1

27

i = ecological zone (i = 1 to n)

28

j = climate domain (j = 1 to m)

29

CF = carbon fraction of dry matter, tonnes C (tonne d.m.)-1

= area of land remaining in the same category, ha

30
31

CO2 and non-CO2 losses of carbon associated with biomass burning are estimated such that carbon emissions are not
double-counted.

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Figure 2.2 Generic decision tree for identification of appropriate tier to estimate changes in
carbon stocks in biomass in a land-use category.

3
4
5

START

6
7
Box 3: Tier 3

8
9

Are detailed
data on biomass available to
estimate changes in C stocks using
dynamic models or allometric
equations?

YES

Use the detailed biomass


data for Tier 3 method

NO
Box 2: Tier 2
Are
country-specific biomass data
and emission/removal factors
available?

YES

Use country-specific
biomass data and emission/
removal factors for the Tier 2
method

NO

Are changes
in C stocks in biomass in
this land classification a key
category (Note 1)?

NO

Are
aggregate data on
biomass growth and
loss available?

NO

Gather data on
biomass growth
and biomass loss
YES

YES

Collect data for the Tier


3 or Tier 2 method
Use aggregate data and
default emission/removal
factors for Tier 1 method

Box 1: Tier 1

Note 1: See Volume 1 Chapter 4, "Methodological Choice and Identification of Key Categories" (noting Section
4.1.2 on limited resources), for discussion of key categories and use of decision trees.

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GTOTAL is the total biomass growth expanded from the above-ground biomass growth (Gw) to include belowground biomass growth. Following a Tier 1 method, this may be achieved directly by using default values of GW
for naturally regenerated trees or broad categories of plantations together with R, the ratio of below-ground
biomass to above-ground biomass differentiated by woody vegetation type. In Tiers 2 and 3, the net annual
increment (IV) can be used with either basic wood density (D) and biomass expansion factors (BEFI) or directly
with biomass conversion and expansion factors (BCEFI) for conversion of annual net increment to above-ground
biomass increment for each vegetation type. Equation 2.10 shows the relationships.

8
EQUATION 2.10
AVERAGE ANNUAL INCREMENT IN BIOMASS
Tier 1

9
10
11

GTOTAL = {GW (1 + R)}

12
13

Biomass increment data (dry matter) are used directly

GTOTAL = {I V BCEFI (1 + R )}

14
15

Tiers 2 and 3
Net annual increment data are used to estimate GW

by applying a biomass conversion and expansion factor

16

Where:

17

GTOTAL = average annual biomass growth above and below-ground, tonnes dry matter ha-1 yr-1

18
19

GW = average annual above-ground biomass growth for a specific woody vegetation type, tonnes dry
matter ha-1 yr-1

20
21
22

23

IV = average net annual increment for specific vegetation type, m3 ha-1 yr-1

24
25
26
27
28

BCEFI = biomass conversion and expansion factor for conversion of net annual increment (including
bark) to above-ground biomass growth for specific vegetation type, tonnes above-ground biomass
growth (m3 net annual increment)-1, (see Table 4.5 for Forest land). If BCEFI values are not available
and if the biomass expansion factor (BEFI) and basic wood density (D) values are separately
estimated, then the following conversion can be used:

29

BCEFI = BEFI D

30
31

Biomass Expansion Factors (BEFI) expands the dry weight of the merchantable volume of net annual
increment, to account for non-merchantable components of the tree, stand and forest.

= ratio of below-ground biomass to above-ground biomass for a specific vegetation type, in tonnes
d.m. below-ground biomass (tonne above-ground d.m. biomass)-1. R can be set to zero if assuming no
changes of below-ground biomass allocation patterns (Tier 1).

32
33
34
35
36
37
38

Estimates for BCEFI for woody (perennial) biomass on non-forest lands such as grassland (savanna), cropland
(agro-forestry), orchards, coffee, tea, and rubber may not be readily available. In this case default values of
BCEFI from one of the forest types closest to the non-forest vegetation can be used to convert merchantable
biomass to total biomass. BCEFI is relevant only to perennial woody tree biomass for which merchantable
biomass data are available. For perennial shrubs, grasses and crops, biomass increment data in terms of tonnes of
dry matter per hectare may be directly available and in this case use of Equation 2.10 will not be required.

39
40

A.2

41
42
43
44
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46

Loss estimates are needed for calculating biomass carbon stock change using the Gain-Loss method. Note that
the loss estimate is also needed when using the StockDifference method to estimate the transfers of biomass to
dead organic matter when higher Tier estimation methods are used (see below). Annual biomass loss is the sum
of losses from wood removal (harvest), fuelwood removal (not counting fuelwood gathered from woody debris),
and other losses resulting from disturbances, such as fire, storms, and insect and diseases. The relationship is
shown in Equation 2.11.

Estimating Annual Decrease in Biomass Carbon Stocks Due to Losses


(Gain-Loss Method), C
L

47
48

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EQUATION 2.11
ANNUAL DECREASE IN CARBON STOCKS DUE TO BIOMASS LOSSES

C L = Lwood removals + L fuelwood + Ldisturbance

IN LAND REMAINING IN SAME CATEGORY

Where:

6
7

CL = annual decrease in carbon stocks due to biomass loss in land remaining in the same land category,
tonnes C yr-1

Lwood-removals = annual carbon loss due to wood removals, tonnes C yr-1 (See Equation 2.12)

Lfuelwood = annual biomass carbon loss due to fuelwood removals, tonnes C yr-1 (See Equation 2.13)

10

Ldisturbance = annual biomass carbon losses due to disturbances, tonnes C yr-1 (See Equation 2.14)

11
12
13
14
15
16
17

Equation 2.11 and the following Equations 2.12 to 2.14 are directly applicable to forest land. These Equations
(2.11 to 2.14) can also be used for estimating losses from cropland and grassland, if quantities of wood removal
(harvesting), fuelwood-removal and loss due to disturbance are available for perennial woody biomass. In
intensively managed as well as highly degraded croplands and grasslands, the perennial woody biomass loss is
likely to be small. Default biomass carbon loss values for woody crop species are provided for the Tier 1
cropland methodology (see Table 5.1). It is important to note that wood-removal used in Equation 2.11 should
be compared with the input to HWP in Chapter 12 for consistency.

18

The three terms on the right hand side of Equation 2.11 are obtained as follows:

19
20

Loss of biomass and carbon from wood removal (harvesting), L w o o d - r e m o v a l s


The method for estimating the annual biomass carbon loss due to wood-removals is provided in Equation 2.12.

21
22
23

EQUATION 2.12
ANNUAL CARBON LOSS IN BIOMASS OF WOOD REMOVALS

24

Lwood removals = {H BCEFR (1 + R) CF }

25

Where:

26

Lwood-removals = annual carbon loss due to biomass removals, tonnes C yr-1

27

= annual wood removals, roundwood, m3 yr-1

28
29

= ratio of below-ground biomass to above-ground biomass, in tonnes d.m. below-ground biomass


(tonne above-ground d.m. biomass)-1

30

CF = carbon fraction of dry matter, tonnes C (tonne dm)-1

31
32
33
34
35

BCEFR = biomass conversion and expansion factor for conversion of removals in merchantable biomass
to total biomass removals (including bark), tonnes biomass removal (m3 of removals)-1, (see Table
4.5 for Forest land). However, if BCEFR values are not available and if the biomass expansion factor
for wood removals (REFV) and basic wood density (D) values are separately estimated, then the
following conversion can be used:

36

BCEFR = REFV D

37
38
39
40

If country-specific data on roundwood removals are not available, the inventory experts should use FAO
statistics on wood harvest. FAO statistical data on wood harvest exclude bark. To convert FAO
statistical wood harvest data without bark into merchantable wood removals including bark, multiply
by default expansion factor of 1.15.

41
42
43
44
45
46

Loss of biomass and carbon from fuelwood removal, L f u e l w o o d


Fuelwood removal will often be comprised of two components. First, removal for fuelwood of living trees and
parts of trees such as tops and branches, where the tree itself remains in the forest, will reduce the carbon in the
biomass of growing stock, and should be treated as biomass carbon loss. The second component is gathering of
dead wood and logging slash. This will reduce the dead organic matter carbon pool. If it is possible it is good

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practice to estimate the two components separately. The biomass carbon loss due to fuelwood removal of live
trees is estimated using Equation 2.13.

3
4
5
6

EQUATION 2.13
ANNUAL CARBON LOSS IN BIOMASS OF FUELWOOD REMOVAL

L fuelwood = [{FGtrees BCEFR (1 + R)} + FG part ] CF

Where:

Lfuelwood = annual carbon loss due to fuelwood removals, tonnes C yr-1

10

FGtrees = annual volume of fuelwood removal of whole trees, m3 yr-1

11

FGpart = annual volume of fuelwood removal as tree parts, m3 yr-1

12
13
14

15

CF = carbon fraction of dry matter, tonnes C (tonne dry matter)-1

16
17
18
19
20

BCEFR = biomass conversion and expansion factor for conversion of removals in merchantable biomass
to biomass removals (including bark), tonnes biomass removal (m3 of removals)-1, (see Table 4.5 for
Forest land). If BCEFR values are not available and if the biomass expansion factor for wood
removals (REFV) and basic wood density (D) values are separately estimated, then the following
conversion can be used:

21

BCEFR = REFV D

22
23
24
25

If country-specific data on roundwood removals are not available, the inventory experts should use FAO
statistics on wood harvest. It should be noted that FAO statistical data on wood harvest exclude bark.
To convert FAO statistical wood harvest data without bark into merchantable wood removals
including bark, multiply by default expansion factor of 1.15.

= ratio of below-ground biomass to above-ground biomass, in tonnes d.m. below-ground biomass


(tonne above-ground d.m. biomass)-1; R can be set to zero if assuming no changes of below-ground
biomass allocation patterns. (Tier 1)

26
27
28
29
30
31
32

Wood harvest can comprise both wood and fuelwood removals (i.e. wood removals in Equation 2.12 can include
both wood and fuelwood removal), or fuelwood removals can be reported separately using, both Equations 2.12
and 2.13. To avoid double counting, it is good practice to check how fuelwood data are represented in the
country and to use the equation that is most appropriate for national conditions. Furthermore, the wood harvest
from forests becomes an input to HWP (Chapter 12). Therefore, it is good practice to check for consistent
representation of wood-harvest data in Equations 2.12 and 2.13 and those in Chapter 12.

33
34
35
36

Loss of biomass and carbon from disturbance, L d i s t u r b a n c e


A generic approach for estimating the amount of carbon lost from disturbances is provided in Equation 2.14. In
the specific case of losses from fire on managed land, including wildfires and controlled fires, this method
should be used to provide input to the methodology to estimate CO2 and non-CO2 emissions from fires.

37
38
39

EQUATION 2.14
ANNUAL CARBON LOSSES IN BIOMASS DUE TO DISTURBANCES

40

Ldisturbance = { Adisturbance BW (1 + R) CF fd }

41

Where:

42
43
44

Ldisturbances = annual other losses of carbon, tonnes C yr-1 (Note that this is the amount of biomass that is
lost from the total biomass. The partitioning of biomass that is transferred to dead organic matter and
biomass that is oxidized and released to the atmosphere is explained in Equations 2.15 and 2.16).

45

Adisturbance = area affected by disturbances, ha yr-1

46

BW = average above-ground biomass of land areas affected by disturbances, tonnes dm ha-1

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CF = carbon fraction of dry matter, tonnes C (tonnes d.m)-1

fd = fraction of biomass lost in disturbance - see note below.

6
7
8
9
10
11

= ratio of below-ground biomass to above-ground biomass, in tonnes d.m. below-ground biomass


(tonne above-ground d.m. biomass)-1. R can be set to zero if no changes of below-ground biomass are
assumed. (Tier 1)

Note: The parameter fd defines the proportion of biomass that is lost from the biomass pool: a standreplacing disturbance will kill all (fd = 1) biomass while an insect disturbance may only remove a
portion (e.g. fd = 0.3) of the average biomass C density. Equation 2.14 does not specify the fate of
the carbon removed from the biomass carbon stock. The Tier 1 assumption is that all of Ldisturbances is
emitted in the year of disturbance. Higher Tier methods assume that some of this carbon is emitted
immediately and some is added to the dead organic matter pools (deadwood, litter) or HWP.

12
13
14
15
16
17
18
19
20
21
22
23
24

The amounts of biomass carbon transferred to different fates can be defined using a disturbance matrix that can
be parameterized to define the impacts of different disturbance types (Kurz et al., 1992). It is good practice, if
possible, to develop and use a disturbance matrix (Table 2.1) for each biomass, dead organic matter and soil
carbon pool, the proportion of the carbon remaining in that pool, and the proportions transferred to other pools,
to harvested wood products and to the atmosphere, during the disturbance event. The proportions in each row
always sum to 1 to ensure conservation of carbon. The value entered in cell A is the proportion of above-ground
biomass remaining after a disturbance (or 1 fd, where fd is defined in Equation 2.14). The Tier 1 assumption is
that all of fd is emitted in the year of disturbance: therefore the value entered in cell F is fd. For higher Tiers,
only the proportion emitted in the year is entered in cell F and the remainder is added to cells B and C in the case
of fire, and B, C, and E in the case of harvest. It is good practice to develop disturbance matrix even under Tier 1
to ensure that all carbon pool transfers are considered, though all biomass carbon is assumed to be emitted in the
year of land conversion. It is important to note that some of the transfers could be small or insignificant.

25
TABLE 2.1
EXAMPLE OF A SIMPLE MATRIX (TIER 2) FOR THE IMPACTS OF DISTURBANCES ON CARBON POOLS
To:

Above-ground
biomass

Belowground
biomass

Dead
wood

Litter

Soil
carbon

Harvested
wood
products

Atmosphere

Sum of
row
(must
equal 1)

From:
Above-ground
biomass

Below-ground
biomass

Dead wood

Litter

Soil carbon

Enter the proportion of each pool on the left side of the matrix that is transferred to the pool at the top of each column. All of
the pools on the left side of the matrix must be fully populated and the values in each row must sum to 1.
Impossible transitions are blacked out.
Note: Letters A to F are cell labels that are referenced in the text.

26
27

2.3.1.2 L AND

CONVERTED TO A NEW LAND - USE CATEGORY

28
29
30

The methods for estimation of emissions and removals of carbon resulting from land-use conversion from one
land-use category to another are presented in this section. Possible conversions include conversion from nonforest to forest land, cropland and forest land to grassland, and grassland and forest land to cropland.

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4
5

The CO2 emissions and removals on land converted to a new land-use category include annual changes in carbon
stocks in above-ground and below-ground biomass. Annual carbon stock changes for each of these pools can be
estimated by using Equation 2.4 (CB = CG - CL), where CG is the annual gain in carbon, and CL is the
annual loss of carbon. CB can be estimated separately for each land use (e.g. forest, grassland, cropland) and
management category (e.g. natural forest, plantation), by specific strata (e.g. climate or forest type).

6
7

METHODS FOR ESTIMATING CHANGE IN CARBON STOCKS IN BIOMASS


(C B )
i) Annual increase in carbon stocks in biomass, C G

8
9
10
11
12
13
14
15
16
17
18

Tier 1: Annual increase in carbon stocks in biomass due to land converted to another land-use category can be
estimated using Equation 2.9 described above for lands remaining in a category. Tier 1 employs a default
assumption that there is no change in initial biomass carbon stocks due to conversion. This assumption can be
applied if the data on previous land uses are not available, which may be the case when land area totals are
estimated using Approach 1 or 2 described in Chapter 3 (non-spatially explicit land area data). This approach
implies the use of default parameters in Section 4.5 (Chapter 4). The area of land converted can be categorized
based on management practices e.g. intensively managed plantations and grasslands or extensively managed
(low input) plantations, grasslands or abandoned croplands that revert back to forest and should be kept in
conversion category for 20 years or another time interval. If the previous land use on a converted area is known,
then the Tier 2 method described below can be used.

19
20
21
22
23
24

Tier 1: The annual decrease in C stocks in biomass due to losses on converted land (fellings, fuelwood
collection and disturbances) can be estimated using Equations 2.11 to 2.14. As with increases in carbon stocks,
Tier 1 follows the default assumption there is of no change in initial carbon stocks in biomass, and it can be
applied for the areas that are estimated with the use of Approaches 1 or 2 in Chapter 3, and default parameters in
Section 4.5.

25
26
27
28
29
30
31

ii) Annual Decrease in Carbon Stocks in Biomass Due to Losses, C L

iii) Higher Tiers for Estimating Change in Carbon Stocks in Biomass,


(C B )
Tiers 2 and 3: Tier 2 (and 3) methods use nationally-derived data and more disaggregated approaches and
(or) process models, which allow for more precise estimates of changes in carbon stocks in biomass. In Tier 2,
Equation 2.4 is replaced by Equation 2.15, where the changes in carbon stock are calculated as a sum of increase
in carbon stock due to biomass growth, changes due to actual conversion (difference between biomass stocks
before and after conversion), and decrease in carbon stocks due to losses.

32
33
34
35

EQUATION 2.15
ANNUAL CHANGE IN BIOMASS CARBON STOCKS ON LAND CONVERTED TO OTHER LAND-USE
CATEGORY (TIER 2)

36

C B = CG + CCONVERSION C L

37

Where:

38
39

CB = annual change in carbon stocks in biomass on land converted to other land category, in tonnes C
yr-1

40
41

CG = annual increase in carbon stocks in biomass due to growth on land converted to another land
category, in tonnes C yr-1

42
43

CCONVERSION = initial change in carbon stocks in biomass on land converted to other land category, in
tonnes C yr-1

44
45

CL = annual decrease in biomass carbon stocks due to losses from harvesting, fuel wood gathering and
disturbances on land converted to other land category, in tonnes C yr-1

46
47
48

Conversion to another land category may be associated with a change in biomass stocks, e.g. part of the biomass
may be withdrawn through land clearing, restocking or other human-induced activities. These initial changes in
carbon stocks in biomass (CCONVERSION) are calculated with the use of Equation 2.16 as follows:

49
50

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2
3

EQUATION 2.16
INITIAL CHANGE IN BIOMASS CARBON STOCKS ON LAND CONVERTED TO ANOTHER LAND
CATEGORY

CCONVERSION = {( BBEFOREi B AFTERi ) ATO _ OTHERSi } CF

Where:

6
7

CCONVERSION = initial change in biomass carbon stocks on land converted to another land category,
tonnes C yr-1

BBEFOREi = biomass stocks on land type i before the conversion, tonnes d.m. ha-1

BAFTERi = biomass stocks on land type i immediately after the conversion, tonnes d.m. ha-1

10

ATO_OTHERSi = area of land use i converted to another land-use category in a certain year, ha yr-1

11

CF = carbon fraction of dry matter, tonnes C (tonnes d.m.)-1

12

= type of land use converted to another land-use category

13
14
15
16
17
18
19

The calculation of CCONVERSION may be applied separately to estimate carbon stocks occurring on specific types
of land (ecosystems, site types etc.) before the conversion. The ATO_OTHERSi refers to a particular inventory year
for which the calculations are made, but the land affected by conversion should remain in the conversion
category for 20 years or other period used in the inventory. Inventories using higher Tier methods can define a
disturbance matrix (Table 2.1) for land-use conversion to quantify the proportion of each carbon pool before
conversion that is transferred to other pools, emitted to the atmosphere (e.g. slash burning), or otherwise
removed during harvest or land clearing.

20
21
22
23
24

Owing to the use of country specific data and more disaggregated approaches, the Equations 2.15 and 2.16
provide for more accurate estimates than Tier 1 methods, where default data are used. Additional improvement
or accuracy would be achieved by using national data on areas of land-use transitions and country-specific
carbon stock values. Therefore, Tier 2 and 3 approaches should be inclusive of estimates that use detailed area
data and country specific carbon stock values.

25

2.3.2 Change in carbon stocks in dead organic matter

26
27
28
29
30
31
32
33
34

Dead organic matter (DOM) comprises dead wood and litter (See Table 1.1). Estimating the carbon dynamics of
dead organic matter pools allows for increased accuracy in the reporting of where and when carbon emissions
and removals occur. For example, only some of the carbon contained in biomass killed during a biomass
burning is emitted into the atmosphere in the year of the fire. Most of the biomass is added to dead wood, litter
and soil pools (dead fine roots are included in the soil) from where the C will be emitted over years to decades,
as the dead organic matter decomposes. Decay rates differ greatly between regions, ranging from high in warm
and moist environments to low in cold and dry environments. Although the carbon dynamics of dead organic
matter pools are well understood qualitatively, countries may find it difficult to obtain actual data with national
coverage on dead organic matter stocks and their dynamics.

35
36
37
38
39
40

In forest ecosystems, DOM pools tend to be largest following stand-replacing disturbances due to the addition of
residual above-ground and below-ground (roots) biomass. In the years after the disturbance, DOM pools decline
as carbon loss through decay exceeds the rate of carbon addition through litterfall, mortality and biomass
turnover. Later in stand development, DOM pools increase again. Representing these dynamics requires separate
estimation of age-dependent inputs and outputs associated with stand dynamics and disturbance-related inputs
and losses. These more complex estimation procedures require higher Tier methods.

41

2.3.2.1 L AND

42
43
44
45
46
47

The Tier 1 assumption for both dead wood and litter pools for all land-use categories is that their stocks are not
changing over time if the land remains within the same land-use category. Thus, the carbon in biomass killed
during a disturbance or management event (less removal of harvested wood products) is assumed to be released
entirely to the atmosphere in the year of the event. This is equivalent to the assumption that the carbon in nonmerchantable and non-commercial components that are transferred to dead organic matter is equal to the amount
of carbon released from dead organic matter to the atmosphere through decomposition and oxidation. Countries

REMAINING IN A LAND - USE CATEGORY

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can use higher tier methods to estimate the carbon dynamics of dead organic matter. This section describes
estimation methods if Tier 2 (or 3) methods are used.

3
4
5
6
7
8
9
10
11
12
13
14

Countries that use Tier 1 methods to estimate DOM pools in land remaining in the same land-use category,
report zero changes in carbon stocks or carbon emissions from those pools. Following this rule, CO2 emissions
resulting from the combustion of dead organic matter during fire are not reported, nor are the increases in dead
organic matter carbon stocks in the years following fire. However, emissions of non-CO2 gases from burning of
DOM pools are reported. Tier 2 methods for estimation of carbon stock changes in DOM pools calculate the
changes in dead wood and litter carbon pools (Equation 2.17). Two methods can be used: either track inputs and
outputs (the Gain-Loss Method, Equation 2.18) or estimate the difference in DOM pools at two points in time
(Stock-Difference Method, Equation 2.19). These estimates require either detailed inventories that include
repeated measurements of dead wood and litter pools, or models that simulate dead wood and litter dynamics. It
is good practice to ensure that such models are tested against field measurements and are documented. Figure
2.3 provides the decision tree for identification of the appropriate tier to estimate changes in carbon stocks in
dead organic matter.

15

Equation 2.17 summarizes the calculation to estimate the annual changes in carbon stock in DOM pools:

16
17
18

EQUATION 2.17
ANNUAL CHANGE IN CARBON STOCKS IN DEAD ORGANIC MATTER

19

C DOM = C DW + C LT

20

Where:

21
22

CDOM = annual change in carbon stocks in dead organic matter (includes dead wood and litter), tonnes C
yr-1

23

CDW = change in carbon stocks in dead wood, tonnes C yr-1

24

CLT = change in carbon stocks in litter, tonnes C yr-1

25
26
27

The changes in carbon stocks in the dead wood and litter pools for an area remaining in a land-use category
between inventories can be estimated using two methods, described in Equation 2.18 and Equation 2.19. The
same equation is used for dead wood and litter pools, but their values are calculated separately.

28
29
30

EQUATION 2.18
ANNUAL CHANGE IN CARBON STOCKS IN DEAD WOOD OR LITTER (GAIN-LOSS METHOD)

31

C DOM = A {( DOM in DOM out ) CF }

32

Where:

33

C DOM = annual change in carbon stocks in the dead wood/litter pool, tonnes C yr-1

34

35
36

DOMin = average annual transfer of biomass into the dead wood/litter pool due to annual processes and
disturbances, tonnes d.m. ha-1 yr-1 (see next Section for further details).

37
38

DOMout = average annual decay and disturbance carbon loss out of dead wood or litter pool, tonnes
d.m. ha-1 yr-1

39

CF = carbon fraction of dry matter, tonnes C (tonne d.m.)-1

2.22

= area of managed land, ha

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2

Figure 2.3 Generic decision tree for identification of appropriate tier to estimate changes in
carbon stocks in dead organic matter for a land-use category

3
4

START

5
6
7
Box 3: Tier 2
Are data on
managed area and DOM stocks at
two periods of time available to
estimate changes
in C stocks?

YES

Use the data for Tier 2


method (StockDifference Method) or
Tier 3 Method

NO
Box 2: Tier 2
Are data on
managed area and annual transfer
into and out of DOM stocks
available?

YES

Use the data for Tier 2


method (Gain-Loss
Method) or Tier 3
Method

NO
Box 1: Tier 1
Are
changes in C stocks in
DOM a key category
(Note 1)?

NO

Assume that the dead


organic matter stock is
in equilibrium

YES
Collect data for Tier 2
method (Gain-Loss
Method or StockDifference Method; see
Note 2)

Note 1: See Volume 1 Chapter 4, "Methodological Choice and Identification of Key Categories" (noting
Section 4.1.2 on limited resources), for discussion of key categories and use of decision trees.
Note 2: The two methods are defined in Equation 2.18 and 2.19, respectively.

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2
3
4
5
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7

The net balance of DOM pools specified in Equation 2.18, requires the estimation of both the inputs and outputs
from annual processes (litterfall and decomposition) and the inputs and losses associated with disturbances. In
practice, therefore, Tier 2 and Tier 3 approaches require estimates of the transfer and decay rates as well as
activity data on harvesting and disturbances and their impacts on DOM pool dynamics. Note that the biomass
inputs into DOM pools used in Equation 2.18 are a subset of the biomass losses estimated in Equation 2.7. The
biomass losses in Equation 2.7 contain additional biomass that is removed from the site through harvest or lost to
the atmosphere, in the case of fire.

8
9
10
11
12

The method chosen depends on available data and will likely be coordinated with the method chosen for biomass
carbon stocks. Transfers into and out of a dead wood or litter pool for Equation 2.18 may be difficult to estimate.
The stock difference method described in Equation 2.19 can be used by countries with forest inventory data that
include DOM pool information, other survey data sampled according to the principles set out in Annex 3A.3
(Sampling) in Chapter 3, and/or models that simulate dead wood and litter dynamics.

13
14
15
16

EQUATION 2.19
ANNUAL CHANGE IN CARBON STOCKS IN DEAD WOOD OR LITTER (STOCK-DIFFERENCE
METHOD)

17

( DOM t2 DOM t1 )

C DOM = A
CF
T

18

Where:

19

CDOM = annual change in carbon stocks in dead wood or litter, tonnes C yr-1

20

A = area of managed land, ha

21

DOMt1 = dead wood/litter stock at time t1 for managed land, tonnes d.m. ha-1

22

DOMt2 = dead wood/litter stock at time t2 for managed land, tonnes d.m. ha-1

23

T = (t2 t1) = time period between time of the second stock estimate and the first stock estimate, yr

24

CF = carbon fraction of dry matter (default = 0.37 for litter), tonnes C (tonne d.m.)-1

25
26
27
28
29
30

Note that whenever the stock change method is used (e.g. in Equation 2.19), the area used in the carbon stock
calculations at times t1 and t2 must be identical. If the area is not identical then changes in area will confound the
estimates of carbon stocks and stock changes. It is good practice to use the area at the end of the inventory
period (t2) to define the area of land remaining in the land-use category. The stock changes on all areas that
change land-use category between t1 and t2 are estimated in the new land-use category, as described in the
sections on land converted to a new land category.

31

INPUT OF BIOMASS TO DEAD ORGANIC MATTER

32
33
34
35
36
37
38
39

Whenever a tree is felled, non-merchantable and non-commercial components (such as tops, branches, leaves,
roots, and noncommercial trees) are left on the ground and transferred to dead organic matter pools. In addition,
annual mortality can add substantial amounts of dead wood to that pool. For Tier 1 methods, the assumption is
that the carbon contained in all biomass components that are transferred to dead organic matter pools will be
released in the year of the transfer, whether from annual processes (litterfall and tree mortality), land
management activities, fuelwood gathering, or disturbances. For estimation procedures based on higher Tiers, it
is necessary to estimate the amount of biomass carbon that is transferred to dead organic matter. The quantity of
biomass transferred to DOM is estimated using Equation 2.20.

40
41
42

EQUATION 2.20
ANNUAL CARBON IN BIOMASS TRANSFERRED TO DEAD ORGANIC MATTER

43

DOM in = {Lmortality + Lslash + ( Ldisturbance f BLol )}

44

Where:

45

DOMin = total carbon in biomass transferred to dead organic matter, tonnes C yr-1

46

Lmortality = annual biomass carbon transfer to DOM due to mortality, tonnes C yr-1 (See Equation 2.21)

47

Lslash = annual biomass carbon transfer to DOM as slash, tonnes C yr-1 (See Equations 2.22)

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Ldisturbances = annual biomass carbon loss resulting from disturbances, tonnes C yr-1 (See Equation 2.14)

2
3
4
5
6

fBLol = fraction of biomass left to decay on the ground (transferred to dead organic matter) from loss due
to disturbance. As shown in Table 2.1, the disturbance losses from the biomass pool are partitioned
into the fractions that are added to deadwood (cell B in Table 2.1) and to litter (cell C), are released
to the atmosphere in the case of fire (cell F) and, if salvage follows the disturbance, transferred to
HWP (cell E).

7
8

Note: that if root biomass increments are counted in Equation 2.10, then root biomass losses must also be
counted in Equations 2.20, and 2.22.

9
10

Examples of the terms on the right hand side of Equation 2.20 are obtained as follows:

11
12
13
14
15
16
17
18
19
20
21

Transfers to dead organic matter from mortality, L m o r t a l i t y

22
23

The equation for estimating mortality is provided in Equation 2.21

Mortality is caused by competition during stand development, age, diseases, and other processes that are not
included as disturbances. Mortality cannot be neglected when using higher Tier estimation methods. In
extensively managed stands without periodic partial cuts, mortality from competition during the stem exclusion
phase, may represent 30-50% of total productivity of a stand during its lifetime. In regularly tended stands,
additions to the dead organic matter pool from mortality may be negligible because partial cuts extract forest
biomass that would otherwise be lost to mortality and transferred to dead organic matter pools. Available data
for increment will normally report net annual increment, which is defined as net of losses from mortality. Since
in this text, net annual growth is used as a basis to estimate biomass gains, mortality must not be subtracted again
as a loss from biomass pools. Mortality must, however, be counted as an addition to the dead wood pool for Tier
2 and Tier 3 methods.

EQUATION 2.21
ANNUAL BIOMASS CARBON LOSS DUE TO MORTALITY

24
25

Lmortality = ( A GW CF m)

26
27

Where:

28

Lmortality =Annual biomass carbon loss due to mortality, tonnes C yr-1

29

30

Gw= above-ground biomass growth, tonnes dm ha-1 yr-1 (see Equation 2.10)

31

CF = carbon fraction of dry matter, tonnes C (tonne dm)-1

32

m = mortality rate expressed as a fraction of above-ground biomass growth, y-1

= area of forest land remaining forest land, ha

33
34
35
36

When data on mortality rates are expressed as proportion of growing stock volume, then the term Gw in
Equation 2.21 should be replaced with growing stock volume to estimate annual transfer to DOM pools from
mortality.

37
38
39
40

Mortality rates differ between stages of stand development and are highest during the stem exclusion phase of
stand development. They also differ with stocking level, forest type, management intensity and disturbance
history. Thus, providing default values for an entire climatic zone is not justified because the variation within a
zone will be much larger than the variation between zones.

41
42
43
44

Annual carbon transfer to slash, L s l a s h


This involves estimating the quantity of slash left after wood removal or fuelwood removal and transfer of
biomass from total annual carbon loss due to wood harvest (Equation 2.12). The estimate for logging slash is
given in Equation 2.22 and which is derived from Equation 2.12 as explained below:

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2

EQUATION 2.22
ANNUAL CARBON TRANSFER TO SLASH

Lslash = H [{BCEFR (1 + R)} D] CF

Where:

Lslash = annual carbon transfer from above-ground biomass to slash, including dead roots, tonnes C yr-1

H = annual wood harvest (wood or fuelwood removal), m3 yr-1

7
8
9
10

BCEFR = Biomass conversion and expansion factors applicable to wood removals, which
transforms transform merchantable volume of wood removal into above-ground biomass removals.
If BCEFR values are not available and if BEFR and Density values are separately estimated then the
following conversion can be used.

11

BCEFR= BEFR * D,

12

D is the basic wood density tonnes dm m-3

13
14
15

BEFR is the biomass expansion factor. Biomass Expansion Factors (BEF)


expand the dry weight3 of the merchantable volume of wood removal to account
for non-merchantable components of the tree, stand and forest.

16
17
18

= ratio of below-ground biomass to above-ground biomass, in tonnes d.m. below-ground biomass


(tonne above-ground d.m. biomass)-1. R can be set to zero if root biomass increment is not included
in Equation 2.10 (Tier 1).

19

CF = carbon fraction of dry matter, tonnes C (tonne dm)-1

20
21
22

Fuelwood gathering that involves the removal of live tree parts does not generate any additional input of biomass
to dead organic matter pools and is not further addressed here.

23
24
25
26

Inventories using higher Tier methods can also estimate the amount of logging slash remaining after harvest by
defining the proportion of above-ground biomass that is left after harvest (enter these proportions in cells B and
C of Table 2.1 for harvest disturbance) and by using the approach defined in Equation 2.14. In this approach,
activity data for the area harvested would also be required.

27

2.3.2.2 L AND C ONVERSION

28
29
30
31

The reporting convention is that all carbon stock changes and non-CO2 greenhouse gas emissions associated with
a land-use change be reported in the new land-use category. For example, in the case of conversion of forest land
to cropland, both the carbon stock changes associated with the clearing of the forest as well as any subsequent
carbon stock changes that result from the conversion are reported under the cropland category.

32
33
34
35
36
37
38

The Tier 1 assumption is that DOM pools in non-forest land categories after the conversion are zero, i.e. they
contain no carbon. The Tier 1 assumption for land converted from forest to another land-use category is that all
DOM carbon losses occur in the year of land-use conversion. Conversely, conversion to forest land results in
buildup of litter and dead wood carbon pools starting from zero carbon in those pools. DOM carbon gains on
land converted to forest occur linearly, starting from zero, over a transition period (default assumption is 20
years). This default period may be appropriate for litter carbon stocks, but in temperate and boreal regions it is
probably too short for dead wood carbon stocks. Countries that use higher Tier methods can accommodate

TO A NEW LAND - USE CATEGORY

In some applications, biomass expansion factors expand dry-weight of merchantable components to total biomass, including
roots, or expand merchantable volume to above-ground or total biomass volume (Somogi et.al., 2005). As used in this
document, biomass expansion factors always transform dry-weight of merchantable volume including bark to aboveground biomass, excluding roots.

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2

longer transition periods by subdividing the remaining category to accommodate strata that are in the later stages
of transition.

3
4
5
6
7
8

The estimation of carbon stock changes during transition periods following land-use conversion requires that
annual cohorts of the area subject to land-use change be tracked for the duration of the transition period. For
example, DOM stocks are assumed to increase for 20 years after conversion to forest land. After 20 years, the
area converted enters the category forest land remaining forest land, and no further DOM changes are assumed,
if a Tier 1 approach is applied. Under Tier 2 and 3, the period of conversion can be varied depending on
vegetation and other factors that determine the time required for litter and deadwood pools to reach steady state.

9
10
11
12
13

Higher Tier estimation methods can use non-zero estimates of litter and dead wood pools in the appropriate landuse categories or subcategories. For example, settlements and agro-forestry systems can contain some litter and
dead wood pools, but because management, site conditions and many other factors influence the pool sizes, no
global default values can be provided here. Higher Tier methods may also estimate the details of dead organic
matter inputs and outputs associated with the land-use change.

14
15
16
17

The conceptual approach to estimating changes in carbon stocks in dead wood and litter pools is to estimate the
difference in C stocks in the old and new land-use categories and to apply this change in the year of the
conversion (carbon losses), or to distribute it uniformly over the length of the transition period (carbon gains)
Equation 2.23:

18
19
20

EQUATION 2.23
ANNUAL CHANGE IN CARBON STOCKS IN DEAD WOOD AND LITTER DUE TO LAND CONVERSION

C DOM =

21

(C n C o ) Aon
Ton

22

Where:

23

CDOM = annual change in carbon stocks in dead wood or litter, tonnes C yr-1

24

Co = dead wood/litter stock, under the old land-use category, tonnes C ha-1

25

Cn = dead wood/litter stock, under the new land-use category, tonnes C ha-1

26

Aon = area undergoing conversion from old to new land-use category, ha

27
28

Ton = time period of the transition from old to new land-use category, yr. The Tier 1 default is 20 years for
carbon stock increases and 1 year for carbon losses.

29
30
31
32

Inventories using a Tier 1 method assume that all carbon contained in biomass killed during a land-use
conversion event (less harvested products that are removed) is emitted directly to the atmosphere and none is
added to dead wood and litter pools. Tier 1 methods also assume that dead wood and litter pool carbon losses
occur entirely in the year of the transition.

33
34
35
36
37
38
39

Countries using higher Tier methods can modify Co in Equation 2.23 by first accounting for the immediate
effects of the land-use conversion in the year of the event. In this case, they would add to Co the carbon from
biomass killed and transferred to the dead wood and litter pools and remove from Co any carbon released from
dead wood and litter pools, e.g. during slash burning. In that case Co in Equation 2.23 would represent the dead
wood or litter carbon stocks immediately after the land-use conversion. Co will transit to Cn over the transition
period, using linear or more complex dynamics. A disturbance matrix (Table 2.1) can be defined to account for
the pool transitions and releases during the land-use conversion, including the additions and removals to Co.

40
41
42
43
44
45
46

Countries using a Tier 1 approach can apply the Tier 1 default carbon stock estimates for litter (and if available)
dead wood pools provided in Table 2.2 but should recognize that these are broad-scale estimates with
considerable uncertainty when applied at the country level. Table 2.2 is incomplete because of the paucity of
published data. A review of the literature has identified several problems. The IPCC definitions of dead organic
matter carbon stocks include litter and dead wood. The litter pool contains all litter plus fine woody debris up to
a diameter limit of 10 cm (see Chapter 1, Table 1.1). Published litter data generally do not include the fine
woody debris component, so the litter values in Table 2.2 are incomplete.

47
48
49
50
51

There are numerous published studies of coarse woody debris (Harmon and Hua, 1991; Karjalainen and
Kuuluvainen, 2002) and a few review papers (e.g., Harmon et al., 1986), and but to date only two studies are
found to provide regional dead wood carbon pool estimates that are based on sample plot data. Krankina et al.
(2002) included several regions in Russia and reported coarse woody debris (> 10 cm diameter) estimates of 2 to
7 Mg C ha-1. Cooms et al. (2002) reported regional carbon pools based on a statistical sample design for a small

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region in New Zealand. Regional compilations for Canada (Shaw et al. 2005) provide estimates of litter carbon
pools based on a compilation of statistically non-representative sample plots, but do not include estimates of
dead wood pools. Review papers such as Harmon et al. (1986) compile a number of estimates from the literature.
For example, their Table 5 lists a range of coarse woody debris values for temperate deciduous forests of 11 38
Mg dry matter ha-1 and for temperate coniferous forests of 10 511 Mg dry matter ha-1. It is, however,
statistically invalid to calculate a mean from these compilations as they are not representative samples of the
dead wood pools in a region.

8
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11
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14

While it is the intent of these IPCC Guidelines to provide default values for all variables used in Tier 1
methodologies, it is currently not feasible to provide estimates of regional defaults values for litter (including
fine woody debris < 10 cm diameter) and dead wood (> 10 cm diameter) carbon stocks. Litter pool estimates
(excluding fine woody debris) are provided in Table 2.2. Tier 1 methodology only requires the estimates in Table
2.2 for lands converted from forest to any other land category (carbon losses) and for lands converted to forests
(carbon gains). Tier 1 methods assume that litter and dead wood pools are zero in all non-forest categories and
therefore transitions between non-forest categories involve no carbon stock changes in these two pools.

15
TABLE 2.2
TIER 1 DEFAULT VALUES FOR LITTER AND DEAD WOOD CARBON STOCKS
(TONNES C HA-1)
Forest Type
Climate

Boreal, dry

Broadleaf
Deciduous

Needleleaf
Evergreen

Broadleaf
Deciduous

Litter carbon stocks


of mature forests
(tonnes C ha-1)
25
31
(10-58)
(6-86)

Needleleaf
Evergreen

Dead wood carbon stocks


of mature forests
(tonnes C ha-1)
n.a.b

n.a

Boreal, moist

39
(11-117)

55
(7-123)

n.a

n.a

Cold Temperate,
dry

28
(23-33)a

27
(17-42) a

n.a

n.a

Cold temperate,
moist

16
(5-31) a

26
(10-48) a

n.a

n.a

20.3
(17.3-21.1)a

n.a

n.a

28.2
Warm Temperate,
(23.4-33.0)a
dry
Warm temperate,
moist

13
(2-31) a

22
(6-42)a

n.a

n.a

Subtropical

2.8
(2-3)

4.1

n.a

n.a

Tropical

2.1
(1-3)

5.2

n.a

n.a

Source:
Litter: Note that these values do not include fine woody debris. Siltanen et al., 1997; and Smith and
Heath, 2001; Tremblay et al., 2002; and Vogt et al.,1996, converted from mass to carbon by
multiplying by conversion factor of 0.37 (Smith and Heath, 2001).
Dead Wood: No regional estimates of dead wood pools are currently available see text for further
comments
a

Values in parentheses marked by superscript a are the 5th and 95th percentiles from simulations of
inventory plots, while those without superscript a indicate the entire range.

n.a. denotes not available

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2.3.3 Change in carbon stocks in soils

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21

Although both organic and inorganic forms of C are found in soils, land use and management typically has a
larger impact on organic C stocks. Consequently, the methods provided in these guidelines focus mostly on soil
organic C. Overall, the influence of land use and management on soil organic C is dramatically different in a
mineral versus an organic soil type. Organic (e.g., peat and muck) soils have a minimum of 12 to 20 percent

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organic matter by mass (see Chapter 3 Annex 3A.5, for the specific criteria on organic soil classification), and
develop under poorly drained conditions of wetlands (Brady and Weil, 1999). All other soils are classified as
mineral soil types, and typically have relatively low amounts of organic matter, occurring under moderate to well
drained conditions, and predominate in most ecosystems except wetlands. Discussion about land-use and
management influences on these contrasting soil types is provided in the next two sections.

MINERAL SOILS

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Mineral soils are a carbon pool that is influenced by land-use and management activities. Land use can have a
large effect on the size of this pool through activities such as conversion of native grassland and forest land to
cropland, where 20-40% of the original soil C stocks can be lost (Mann, 1986; Davidson and Ackerman, 1993;
Ogle et al., 2005). Within a land-use type, a variety of management practices can also have a significant impact
on soil organic C storage, particularly in cropland and grassland (e.g., Paustian et al., 1997; Conant et al., 2001;
Ogle et al., 2004 and 2005). In principle, soil organic C stocks can change with management or disturbance if
the net balance between C inputs and C losses from soil is altered. Management activities influence organic C
inputs through changes in plant production (such as fertilization or irrigation to enhance crop growth), direct
additions of C in organic amendments, and the amount of carbon left after biomass removal activities, such as
crop harvest, timber harvest, fire, or grazing. Decomposition largely controls C outputs and can be influenced by
changes in moisture and temperature regimes as well as the level of soil disturbance resulting from the
management activity. Other factors also influence decomposition, such as climate and edaphic characteristics.
Specific effects of different land-use conversions and management regimes are discussed in the land-use specific
chapters (Chapters 4-9).

21
22
23
24
25

Land-use change and management activity can also influence soil organic C storage by changing erosion rates
and subsequent loss of C from a site; some eroded C decomposes in transport and CO2 is returned to the
atmosphere, while the remainder is deposited in another location. The net effect of changing soil erosion
through land management is highly uncertain, however, because an unknown portion of eroded C is stored in
buried sediments of wetlands, lakes, river deltas and coastal zones (Smith et al., 2001).

26

ORGANIC SOILS

27
28
29
30
31

Inputs of organic matter can exceed decomposition losses under anaerobic conditions, which are common in
undrained organic soils, and considerable amounts of organic matter can accumulate over time. The carbon
dynamics of these soils are closely linked to the hydrological conditions, including available moisture, depth of
the water table, and reduction-oxidation conditions (Clymo, 1984; Thormann et al., 1999). Species composition
and litter chemistry can also influence those dynamics (Yavitt et al., 1997).

32
33
34
35
36
37

Carbon stored in organic soils will readily decompose when conditions become aerobic following soil drainage
(Armentano and Menges, 1986; Kasimir-Klemedtsson et al., 1997). Drainage is a practice used in agriculture
and forestry to improve site conditions for plant growth. Loss rates vary by climate, with drainage under warmer
conditions leading to faster decomposition rates. Losses of CO2 are also influenced by drainage depth; liming;
the fertility and consistency of the organic substrate; and temperature (Martikainen et al., 1995). Greenhouse gas
inventories capture this effect of management.

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46

While drainage of organic soils typically releases CO2 to the atmosphere (Armentano and Menges, 1986), there
can also be a decrease in emissions of CH4 that occur in un-drained organic soils (Nyknen et al., 1995).
However, CH4 emissions from un-drained organic soils are not addressed in the inventory guidelines with the
exception of a few cases in which the wetlands are managed (See Chapter 7 Wetlands). Similarly, national
inventories typically do not estimate the accumulation of C in the soil pool resulting from the accumulation of
plant detritus in un-drained organic soils. Overall, the rates of C gain are relatively slow in wetland environments
with organic soils (Gorham, 1991), and any attempt to estimate C gains, even those created through wetland
restoration, would also need to address the increase in CH4 emissions. See additional guidance in Chapter 7
Wetlands.

47
49

2.3.3.1 S OIL C E STIMATION M ETHODS (L AND R EMAINING IN A


L AND -U SE C ATEGORY AND L AND C ONVERSION TO A N EW
L AND -U SE )

50
51
52
53
54

Soil C inventories include estimates of soil organic C stock changes for mineral soils and CO2 emissions from
organic soils due to enhanced microbial decomposition caused by drainage and associated management activity.
In addition, inventories can address C stock changes for soil inorganic C pools (e.g., calcareous grasslands that
become acidified over time) if sufficient information is available to use a Tier 3 approach. The equation for
estimating the total change in soil C stocks is given in Equation 2.24:

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EQUATION 2.24
ANNUAL CHANGE IN CARBON STOCKS IN SOILS

C Soils = C Mineral LOrganic + C Inorganic

Where:

CSoils

= annual change in carbon stocks in soils, tonnes C yr-1

CMineral

= annual change in organic carbon stocks in mineral soils, tonnes C yr-1

LOrganic

CInorganic = annual change in inorganic carbon stocks from soils, tonnes C yr-1 (assumed to be 0 unless

= annual loss of carbon from drained organic soils, tonnes C yr-1

10

using a Tier 3 approach)

11
12
13
14
15
16
17
18

For Tier 1 and 2 methods, soil organic C stocks for mineral soils are computed to a default depth of 30 cm.
Greater depth can be selected and used at Tier 2 if data are available, but Tier 1 factors are based on 30 cm
depth. Residue/litter C stocks are not included because they are addressed by estimating dead organic matter
stocks. Stock changes in organic soils are based on emission factors that represent the annual loss of organic C
throughout the profile due to drainage. No Tier 1 or 2 methods are provided for estimating the change in soil
inorganic C stocks due to limited scientific data for derivation of stock change factors; thus the net flux for
inorganic C stocks is assumed to be zero. Tier 3 methods can be used to refined estimates of the C stock changes
in mineral and organic soils and for soil inorganic C pools.

19
20
21
22
23

It is possible that countries will use different tiers to prepare estimates for mineral soils, organic soils, and soil
inorganic C, given availability of resources. Thus, stock changes for mineral and organic soils and for inorganic
C pools (Tier 3 only) are discussed separately. A generalized decision tree in Figures 2.4 and 2.5 can be used to
assist inventory compilers in determining the appropriate tier for estimating stock changes for mineral and
organic soil C, respectively.

24

Tier 1 Approach: Default Method

25
26
27
28

Mineral Soils
For mineral soils, the default method is based on changes in soil C stocks over a finite period of time. The
change is computed based on C stock after the management change relative to the carbon stock in a reference
condition (i.e., native vegetation that is not degraded or improved). The following assumptions are made:

29
30

(i)

Over time, soil organic C reaches a spatially-averaged, stable value specific to the soil, climate,
land-use and management practices; and

31
32

(ii)

Soil organic C stock changes during the transition to a new equilibrium SOC occurs in a linear
fashion.

33
34
35
36
37

Assumption (i), that under a given set of climate and management conditions, soils tend towards an equilibrium
carbon content, is widely accepted. Although, soil carbon changes in response to management changes may
often be best described by a curvi-linear function, assumption (ii) greatly simplifies the Tier 1 methodology and
provides a good approximation over a multi-year inventory period, where changes in management and land-use
conversions are occurring throughout the inventory period.

38
39
40
41
42
43
44

Using the default method, changes in soil C stocks are computed over an inventory time period. Inventory time
periods will likely be established based on the years in which activity data are collected, such as 1990, 1995,
2000, 2005 and 2010, which would correspond to inventory time periods of 1990-1995, 1995-2000, 2000-2005,
2005-2010. For each inventory time period, the soil organic C stocks are estimated for the first (SOC0-T) and last
year (SOC0) based on multiplying the reference C stocks by stock change factors. Annual rates of carbon stock
change are estimated as the difference in stocks at two points in time divided by the time dependence of the
stock change factors.

45

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EQUATION 2.25
ANNUAL CHANGE IN ORGANIC CARBON STOCKS IN MINERAL SOILS

C Mineral =

SOC =

{SOC

c , s ,i

REFc , s ,i

( SOC 0 SOC ( 0T ) )
D

FLU c , s ,i FMGc , s ,i FI c , s ,i Ac ,s ,i }

(Note: T is used in place of D in this equation if T is 20 years, see note below)

Where:

CMineral = annual change in carbon stocks in mineral soils, tonnes C yr-1

SOC0 = soil organic carbon stock in the last year of an inventory time period, tonnes C ha-1

SOC(0-T) = soil organic carbon stock at the beginning of the inventory time period, tonnes C ha-1

10
11
12

SOC0 and SOC(0-T) are calculated using the SOC equation in the box where the reference carbon stocks
and stock change factors are assigned according to the land-use and management activities and
corresponding areas at each of the points in time (time = 0 and time = 0-T)

13

T = number of years over a single inventory time period, yr

14
15
16
17

D = Time dependence of stock change factors which is the default time period for transition between
equilibrium SOC values, yr. Commonly 20 years, but depends on assumptions made in computing
the factors FLU, FMG and FI. If T exceeds D, use the value for T to obtain an annual rate of change
over the inventory time period (0-T years).

18
19

c = represents the climate zones, s the soil types, and i the set of management systems that are present in a
country.

20

SOCREF = the reference carbon stock, tonnes C ha-1 (Table 2.3)

21

FLU = stock change factor for land-use systems or sub-system for a particular land-use, dimensionless

22
23

[Note: FND is substituted for FLU in forest soil C calculation to estimate the influence of natural
disturbance regimes.

24

FMG = stock change factor for management regime, dimensionless

25

FI = stock change factor for input of organic matter, dimensionless

26
27
28

A = land area of the stratum being estimated, ha. All land in the stratum should have common biophysical
conditions (i.e., climate and soil type) and management history over the inventory time period to be
treated together for analytical purposes.

29
30
31
32
33
34
35
36
37
38
39
40
41

Inventory calculations are based on land areas that are stratified by climate regions (see Chapter 3 Annex 3A.5,
for default classification of climate), and default soils types as shown in Table 2.3 (see Chapter 3, Annex 3A.5,
for default classification of soils). The stock change factors are very broadly defined and include: 1) a land-use
factor (FLU) that reflects C stock changes associated with type of land use, 2) a management factor (FMG)
representing the principal management practice specific to the land-use sector (e.g., different tillage practices in
croplands), and 3) an input factor (FI) representing different levels of C input to soil. As mentioned above, FND is
substituted for FLU in forest land to account for the influence of natural disturbance regimes (see Chapter 4
Section 4.2.3 for more discussion). The stock change factors are provided in the soil C sections of the land-use
chapters. Each of these factors represents the change over a specified number of years (D), which can vary
across sectors, but is typically invariant within sectors (e.g., 20 years for the cropland systems). In some
inventories, the time period for inventory (T years) may exceed D, and under those cases, an annual rate of
change in C stock may be obtained by dividing the product of [(SOC0 SOC(0 T)) A] by T, instead of D. See
the soil C sections in the land-use chapters for detailed step-by-step guidance on the application of this method.

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TABLE 2.3
DEFAULT REFERENCE (UNDER NATIVE VEGETATION) SOIL ORGANIC C STOCKS (SOCREF) FOR MINERAL SOILS
(TONNES C HA-1 IN 0-30 CM DEPTH)
Climate Region
Boreal

HAC soils1

LAC soils2

Sandy soils3

Spodic soils4

Volcanic
soils5

Wetland
soils6

68

NA

10#

117

20#

146

Cold temperate, dry

50

33

34

NA

20

Cold temperate, moist

95

85

71

115

130

Warm temperate, dry

38

24

19

NA

70#

Warm temperate, moist

88

63

34

NA

80

Tropical, dry

38

35

31

NA

50#

Tropical, moist

65

47

39

NA

70#

Tropical, wet

44

60

66

NA

130#

Tropical montane

88*

63*

34*

NA

80*

87

88

86

Note: Data are derived from soil databases described by Jobbagy and Jackson (2000) and Bernoux et al. (2002). Mean stocks are
shown. A nominal error estimate of 90% (expressed as 2x standard deviations as percent of the mean) are assumed for soil-climate
types. NA denotes not applicable because these soils do not normally occur in some climate zones.
# indicates where no data were available and default values from 1996 IPCC Guidelines were retained.
* Data were not available to directly estimate reference C stocks for these soil types in the tropical montane climate so the stocks were
based on estimates derived for the warm temperate, moist region, which has similar mean annual temperatures and precipitation.
1
Soils with high activity clay (HAC) minerals are lightly to moderately weathered soils, which are dominated by 2:1 silicate clay
minerals (in the World Reference Base for Soil Resources (WRB) classification these include Leptosols, Vertisols, Kastanozems,
Chernozems, Phaeozems, Luvisols, Alisols, Albeluvisols, Solonetz, Calcisols, Gypsisols, Umbrisols, Cambisols, Regosols; in USDA
classification includes Mollisols, Vertisols, high-base status Alfisols, Aridisols, Inceptisols).
2
Soils with low activity clay (LAC) minerals are highly weathered soils, dominated by 1:1 clay minerals and amorphous iron and
aluminium oxides (in WRB classification includes Acrisols, Lixisols, Nitisols, Ferralsols, Durisols; in USDA classification includes
Ultisols, Oxisols, acidic Alfisols).
3
Includes all soils (regardless of taxonomic classification) having > 70% sand and < 8% clay, based on standard textural analyses (in
WRB classification includes Arenosols; in USDA classification includes Psamments).
4

Soils exhibiting strong podzolization (in WRB classification includes Podzols; in USDA classification Spodosols)

Soils derived from volcanic ash with allophanic mineralogy (in WRB classification Andosols; in USDA classification Andisols)

Soils with restricted drainage leading to periodic flooding and anaerobic conditions (in WRB classification Gleysols; in USDA
classification Aquic suborders).

2
3

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Figure 2.4 Generic decision tree for identification of appropriate tier to estimate changes in
carbon stocks in mineral soils by land-use category

3
START

Box 3: Tier 3
Do you
have the data and resources to
develop a Tier 3?

Use the data for Tier 3


method (e.g. use of
models and/or
measurement-based
approach)

YES

NO

Box 2: Tier 2

Do you
have country-specific data on
soil C stock changes due to land use and
management for mineral soils or data to
generate country-specific
reference C
stocks?

Use the data for Tier 2


method

YES

NO

Are changes
in C stocks in mineral
soils a key category
(Note 1)?

NO

Are
aggregate land use
and management data
available (e.g. FAO
statistics?

NO
Gather data on
land use and
management

YES
YES
Collect data for
Tier 3 or Tier 2
method

Use aggregate data and


default emission/
removal factors for Tier
1 method
Box 1: Tier 1

Note 1: See Volume 1 Chapter 4, "Methodological Choice and Identification of Key Categories" (noting
Section 4.1.2 on limited resources), for discussion of key categories and use of decision trees.

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7
8
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Figure 2.5 Generic decision tree for identification of appropriate tier to estimate changes in
carbon stocks in organic soils by land-use category

3
4

START

5
6
7
Box 3: Tier 3
Do you
have data on activities likely
to alter the hydrological regime,
surface temperature, and
vegetation composition of
organic soils?

Use the data for Tier 3


method to conduct a full
carbon balance of
organic soils (model or
measurement-based)

YES

NO

Box 2: Tier 2

Do you
have data that can be
used to derive country-specific
emission factors for climate type
and or classification scheme
relevant to organic
soils?

Use the data for Tier 2


method

YES

NO

Are
changes in C stocks
in organic soils a
key category
(Note 1)?

NO

Are aggregate
data available on
organic soils drained for
management
purposes?

NO
Gather data on
drained organic
soils

YES
YES
Collect data for
Tier 3 or Tier 2
method

Use aggregate data and


default emission factors
for Tier 1 method
Box 1: Tier 1

Note 1: See Volume 1 Chapter 4, "Methodological Choice and Identification of Key Categories" (noting Section
4.1.2 on limited resources), for discussion of key categories and use of decision trees.

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3
4

When applying the Tier 1 or even Tier 2 method using Equation 2.25, the type of land-use and management
activity data has a direct influence on the formulation of the equation (See Box 2.1). Activity data collected with
Approach 1 fit with Formulation A, while activity data collected with Approach 2 or 3 will fit with Formulation
B (See Chapter 3 for additional discussion on the Approaches for activity data collection).

5
6
7
8

BOX 2.1
ALTERNATIVE FORMULATIONS OF EQUATION 2.25 FOR APPROACH 1 ACTIVITY DATA VERSUS APPROACH 2
OR 3 ACTIVITY DATA WITH TRANSITION MATRICES

9
10

Two alternative formulations are possible for Equation depending on the Approach used to
collected activity data, including

11

Formulation A (Approach 1 for Activity Data Collection)

{SOC REFc , s ,i FLU c , s ,i FMGc , s ,i FI c , s ,i Ac ,s ,i }


c ,s ,i
0

C Mineral

12

{SOC REFc , s ,i FLU c , s ,i FMGc , s ,i FI c , s ,i Ac ,s ,i }


c ,s ,i
( 0T )
=
D

13
Formulation B (Approaches 2 and 3 for Activity Data Collection)

14
15

C Mineral

16

{SOC REFc , s ,i FLU c , s ,i FMGc , s ,i FI c , s ,i }


0
c , s ,i

{SOC REFc , s ,i FLU c , s ,i FMGc , s ,i FI c , s ,i }


c

, s ,i
( 0T )
=
D

17
18
19

Where:

20

p = parcel of land

21

See the description of other terms under the Equation 2.25.

22
23
24
25
26
27
28
29
30
31
32
33

Activity data may only be available using Approach 1 for data collection (Chapter 3). These data
provide the total area at two points in time for climate, soil and land-use/management systems,
without quantification of the specific transitions in land use and management over the inventory
time period (i.e., only the aggregate or net change is known, not the gross changes in activity).
With Approach 1 activity data, mineral C stock changes are computed using formulation A of
Equation 2.25. In contrast, activity data may be collected based on surveys, remote sensing
imagery or other data providing not only the total areas for each land management system, but also
the specific transitions in land use and management over time on individual parcels of land. These
are considered Approach 2 and 3 activity data in Chapter 3, and soil C stock changes are computed
using formulation B of Equation 2.25. Formulation B contains a summation by land parcel that
allows the inventory compiler to compute the changes in C stocks on a land parcel by land parcel
basis.

34
35
36
37

Special consideration is needed if using Approach 1 activity data (see Chapter 3) as the basis for estimating landuse and management effects on soil C stocks, using Equation 2.25. Approach 1 data do not track individual land

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transitions, and so SOC stock changes are computed for inventory time periods equivalent to D years, or as close
as possible to D, which is 20 years in the Tier 1 method. For example, cropland may be converted from full
tillage to no-till management between 1990 and 1995, and Equation 1 would estimate a gain in soil C for that
inventory time period. However, assuming that the same parcel of land remains in no-till between 1995 and
2000, no additional gain in C would be computed (i.e., the stock for 1995 would be based on no-till management
and it would not differ from the stock in 2000 (SOC0), which is also based on no-till management). If using the
default approach, there would be an error in this estimation because the change in soil C stocks occurs over 20
years (i.e., D = 20 years). Therefore, SOC(0 T) is estimated for the most distant time that is used in the inventory
calculations up to D years before the last year in the inventory time periods (SOC0). For example, assuming D is
20 and the inventory is based on activity data from 1990, 1995, 2000, 2005 and 2010, SOC(0 T) will be computed
for 1990 to estimate the change in soil organic C for each of the other years, (i.e., 1995, 2000, 2005 and 2010).
The year for estimating SOC(0 T) in this example will not change until activity data are gathered at 2011 or later
(e.g., computing the C stock change for 2011 would be based on the most distant year up to, but not exceeding
D, which in this example would be 1995).

15
16
17
18
19
20
21
22
23
24
25
26

If transition matrices are available (i.e., Approach 2 or 3 activity data), the changes can be estimated between
each successive year. From the example above, some no-till land may be returned to full tillage management
between 1995 and 2000. In this case, the gain in C storage between 1990 and 1995 for the land base returned to
full tillage would need to be discounted between 1995 and 2000. Further, no additional change in the C stocks
would be necessary for land returned to full tillage after 2000 (assuming tillage management remained the same).
Only land remaining in no-till would continue to gain C up to 2010 (i.e., assuming D is 20 years). Hence,
inventories using transition matrices from Approach 2 and 3 activity data will need to be more careful in dealing
with the time periods over which gains or losses of SOC are computed. See Box 2.2 for additional details. The
application of the soil C estimation approach is much simpler if only using aggregated statistics with Approach 1
activity data. However, it is good practice for countries to use transition matrices from Approach 2 and 3
activity data if that information is available because the more detailed statistics will provide an improved
estimate of annual changes in soil organic C stocks.

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28
29
30

There may be some cases in which activity data are collected over time spans longer than the time dependence of
the stock change factors (D), such as every 30 years with a D of 20. For those cases, the annual stock changes
can be estimated directly between each successive year of activity data collection (e.g., 1990, 2020 and 2050)
without over- or under-estimating the annual change rate, as long as T is substituted for D in Equation 2.25.

31
32
33
34
35
36

Organic Soils
The basic methodology for estimating C emissions from organic (e.g. peat-derived) soils is to assign an annual
emission factor that estimates the losses of C following drainage. Drainage stimulates oxidation of organic
matter previously built up under a largely anoxic environment. Specifically, the area of drained and managed
organic soils under each climate type is multiplied by the associated emission factor to derive an estimate of
annual CO2 emissions (source), as presented in Equation 2.26:

37
EQUATION 2.26
ANNUAL CARBON LOSS FROM DRAINED ORGANIC SOILS (CO2)

38
39

LOrganic = ( A EF ) c

40

41

Where:

42

LOrganic = annual carbon loss from drained organic soils, tonnes C yr-1

43

A = land area of drained organic soils in climate type c, ha


Note: A is the same area (Fos) used to estimate N2O emissions in Chapter 11, Equations 11.1 and 11.2

44

EF = emission factor for climate type c, tonnes C ha-1 yr-1

45
46
47

See the soil C sections in the land-use chapters for a detailed step-by-step guidance on the application of this
method.

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BOX 2.2
COMPARISON BETWEEN USE OF APPROACH 1 AGGREGATE STATISTICS AND APPROACH 2 OR 3 ACTIVITY
DATA WITH TRANSITION MATRICES

Assume a country where a fraction of the land is subjected to land-use changes, as shown in the following table, where
each line represents one land unit with an area of 1 Mha (F=forest land; G=grassland; C=cropland):
Land Unit ID

1990

1995

2000

2005

2010

2015

2020

For simplicity, it is assumed that the country has a single soil type, with a SOCRef (0-30 cm) value of 77 tonnes C ha-1,
corresponding to forest vegetation. Values for FLU are 1.00, 1.05 and 0.92 for F, G and C, respectively. FMG and FI are
assumed to be equal to 1. Time dependence of stock change factors (D) is 20 years. Finally, land-use is assumed to be in
equilibrium in 1990 (i.e., no changes in land-use occurred during the 20 years prior to 1990). When using Approach 1
activity data (i.e., aggregate statistical data), annual changes in carbon stocks are computed for every inventory year
following Equation 2.25 above. The following table shows the results of calculations
1990

1995

2000

2005

2010

2015

2020

F (Mha)

G (Mha)

C (Mha)

458

436

442

442

462

462

462

458

458

458

458

458

436

442

-1.1

-0.8

-0.8

0.2

1.3

1.0

SOC0 (Mt C)
SOC(0-T) (Mt C)
-1

CMineral (Mt C yr )

If Approach 2 or 3 data are used in which land-use changes are explicitly known, carbon stocks can be computed taking
into account historical changes for every individual land unit. The total carbon stocks for the sum of all units is
compared with the most immediate previous inventory year, rather than with the inventory of 20 years before- to
estimate annual changes in carbon stocks:
1990

1995

2000

2005

2010

2015

2020

SOC0 (Mt C) for unit 1

77.0

75.5

74.0

72.5

71.0

71.0

71.0

SOC0 (Mt C) for unit 2

77.0

75.5

74.0

72.5

75.0

77.5

80.0

SOC0 (Mt C) for unit 3

81.0

78.5

76.0

73.5

71.0

73.5

76.0

SOC0 (Mt C) for unit 4

81.0

81.0

80.0

79.0

78.0

77.0

77.0

SOC0 (Mt C) for unit 5

71.0

71.0

71.0

71.0

73.5

76.0

78.5

SOC0 (Mt C) for unit 6

71.0

71.0

73.5

76.0

78.5

76.0

73.5

SOC0 (Mt C)

458

453

449

445

447

451

456

458

458

453

449

445

447

451

-1.1

-0.8

-0.8

0.5

0.8

1.0

SOC(0-T) (Mt C)
-1

CCCMineral (Mt C yr )

Both methods yield different estimates of carbon stocks, and use of Approach 2 or 3 data with transition matrices would
be more accurate than use of Approach 1 aggregate statistics. However, estimates of annual changes of carbon stocks
would generally not be very different, as shown in this example. The effect of underlying data approaches on the
estimates differ more when there are multiple changes in land-use on the same piece of land (as in land units 2, 3 and 6
in the example above). It is noteworthy that Approach 1, 2 and 3 activity data produce the same changes in C stocks if
the systems reach a new equilibrium, which occurs with no change in land-use and management for a 20 year time
period using the Tier 1 method. Consequently, no carbon stock increases or losses are inadvertently lost when applying
the methods for Approach 1, 2 or 3 activity data, but the temporal dynamics do vary somewhat as demonstrated above.

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The effects of land-use and management activities on soil inorganic C stocks and fluxes are linked to site
hydrology and depend on specific mineralogy of the soil. Further, accurate estimation of the effects requires
following the fate of discharged dissolved inorganic C and base cations from the managed land, at least until
they are fully captured in the oceanic inorganic C cycle. Thus, a comprehensive hydrogeochemical analysis that
tracks the fate of dissolved CO2, carbonate and bicarbonate species and base cations (e.g. Ca and Mg) applied to,
within, and discharged from, managed land over the long term is needed to accurately estimate net stock
changes. Such an analysis requires a Tier 3 approach.

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10
11
12
13
14
15

A Tier 2 approach is a natural extension of the Tier 1 method that allows an inventory to incorporate countryspecific data, while using the default equations given for mineral and organic soils. It is good practice for
countries to use a Tier 2 approach if possible, even if they are only able to better specify certain components of
the Tier 1 default approach. For example, a country may only have data to derive country-specific reference C
stocks, which would then be used with default stock change factors to estimate changes in soil organic C stocks
for mineral soils.

Soil Inorganic C

Tier 2 Approach: Incorporating Country-Specific Data

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23

Mineral Soils

24
25
26
27
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29

1) Defining Management Systems. Although the same management systems may be used in a Tier 2 inventory
as found in the Tier 1 method, the default systems can be disaggregated into a finer categorization that better
represents management impacts on soil organic C stocks in a particular country based on empirical data (i.e.,
stock change factors vary significantly for the proposed management systems). Such an undertaking, however,
is only possible if there is sufficient detail in the underlying data to classify the land area into the finer, more
detailed set of management systems.

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32
33
34
35
36
37

2) Climate Regions and Soil Types. Countries that have detailed soil classifications and climatic data have the
option of developing country-specific classifications. Moreover, it is considered good practice to specify better
climate regions and soil types during the development of a Tier 2 inventory if the new classification improves
the specification of reference C stocks and/or stock change factors. In practice, reference C stocks and/or stock
change factors should differ significantly among the proposed climate regions and soil types based on an
empirical analysis. Note that specifying new climate regions and/or soil types requires the derivation of countryspecific reference C stocks and stock change factors. The default reference C stocks and stock change factors
are only appropriate for inventories using the default climate and soil types.

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40
41
42
43
44
45
46
47
48
49

3) Reference C stocks. Deriving country-specific reference C stocks (SOCRef) is another possibility for
improving an inventory using a Tier 2 approach (Bernoux et al., 2002). Using country-specific data for
estimating reference stocks will likely produce more accurate and representative values. The derivation of
country-specific reference soil C stocks can be done from measurements of soils, for example, as part of a
countrys soil survey. It is important that reliable taxonomic descriptions be used to group soils into categories.
There are three additional considerations in deriving the country-specific values, including possible specification
of country-specific soil categories and climate regions (i.e., instead of using the IPCC default classification),
choice of reference condition, and depth increment over which the stocks are estimated. Stocks are computed by
multiplying the proportion of organic carbon (i.e., %C divided by 100) by the depth increment (default is 30 cm),
bulk density, and the proportion of coarse-fragment free soil (i.e., < 2mm fragments) in the depth increment
(Ogle et al., 2003). The coarse fragment-free proportion is on a mass basis (i.e., mass of coarse fragment-free
soil/total mass of the soil).

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58

The reference condition is the land-use/cover category that is used for evaluating the relative effect of land-use
change on the amount of soil C storage (e.g., relative difference in C storage between a reference condition, such
as native lands, and another land use, such as croplands, forming the basis for FLU in Equation 2.25). In the Tier
1 method, the reference condition is native lands (i.e., non-degraded, unimproved lands under native vegetation),
and it is likely that many countries will use this same reference in a Tier 2 approach. However, another land use
can be selected for the reference, and this would be considered good practice if it allows for a more robust
assessment of country-specific reference stock values. Reference stocks should be consistent across the land
uses (i.e., cropland, grassland, forest land, settlements, and other land), requiring coordination among the various
teams conducting soil C inventories for the AFOLU sector.

Country-specific data can be used to improve four components of the Tier 1 inventory approach for estimating
stock changes in mineral soils, including derivation of region or country-specific stock change factors and/or
reference C stocks, in addition to improving the specification of management systems, climate, or soil categories
(e.g., Ogle et al., 2003; Vanden Bygaart et al., 2004; Tate et al., 2005). Inventory compilers can choose to derive
specific values for all of these components, or any subset, which would be combined with default values
provided in the Tier 1 method to complete the inventory calculations using Equation 2.25. Also, Tier 2 uses the
same procedural steps for calculations as provided for Tier 1.

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Another consideration in deriving country-specific reference C stocks is the possibility of estimating C storage to
a greater depth in the soil (i.e., lower in the profile). Default stocks given in Table 2.3 account for soil organic C
in the top 30 cm of a soil profile. It is good practice to derive reference C stocks to a greater depth if there is
sufficient data, and if it is clear that land-use change and management have a significant impact over the
proposed depth increment. Any change in the depth for reference C stocks will require derivation of new stock
change factors, given that the defaults are also based on impacts to a 30 cm depth.

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10
11

4) Stock Change Factors. An important advancement for a Tier 2 approach is the estimation of country-specific
stock change factors (FLU, FMG and FI). The derivation of country-specific factors can be accomplished using
experimental/measurement data and computer model simulation. In practice, deriving stock change factors
involves estimating a response ratio for each study or observation (i.e., the C stocks in different input or
management classes are divided by the value for the nominal practice, respectively).

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20
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23
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26

Optimally, stock change factors are based on experimental/measurement data in the country or surrounding
region, by estimating the response ratios from each study and then analyzing those values using an appropriate
statistical technique (e.g., Ogle et al., 2003 and 2004; VandenBygaart et al., 2004). Studies may be found in
published literature, reports and other sources, or inventory compilers may choose to conduct new experiments.
Regardless of the data source, it is good practice that the plots being compared have similar histories and
management as well as similar topographic position, soil physical properties and be located in close proximity.
Studies should provide C stocks (i.e., mass per unit area to a specified depth) or the information needed to
estimate SOC stocks (i.e., percent organic matter together with bulk density; proportion of rock in soil, which is
often measured as the greater than 2mm fraction and by definition contains no soil organic C). If percent organic
matter is available instead of percent organic carbon, a conversion factor of 0.58 can be used to estimate the C
content. Moreover, it is good practice that the measurements of soil C stocks are taken on an equivalent mass
basis (e.g., Ellert et al. 2001, Gifford and Roderick 2003). In order to use this method, the inventory compiler
will need to determine a depth to measure the C stock for the nominal land use or practice, such as native lands
or conventional tillage. This depth will need to be consistent with the depth for the reference C stocks. The soil
C stock for the land-use or management change is then measured to a depth with the equivalent mass of soil.

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30
31
32

Another option for deriving country-specific values is to simulate stock change factors from advanced models
(Bhatti et al., 2001). To demonstrate the use of advanced models, simulated stock change factors can be
compared to with measured changes in C stocks from experiments. It is good practice to provide the results of
model evaluation, citing published papers in the literature and/or placing the results in the inventory report. This
method is considered a Tier 2 approach because it relies on the stock change factor concept and the C estimation
method elaborated in the Tier 1 approach.

33
34
35
36

Derivation of country-specific management factors (FMG) and input factors (FI), either with empirical data or
advanced models, will need to be consistent with the management system classification. If more systems are
specified for the inventory, unique factors will need to be derived representing the finer categories for a
particular land use.

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38
39
40
41
42
43
44
45
46
47

Another consideration in deriving country-specific stock change factors is their associated time dependence (D
in Equation 2.25), which determines the number of years over which the majority of a soil organic C stock
change occurs, following a management change. It is possible to use the default time dependence (D) for the
land-use sector (e.g., 20 years for cropland), but the dependence can be changed if sufficient data are available to
justify a different time period. In addition, the method is designed to use the same time dependence (D) for all
stock change factors as presented in Equation 2.25. If different periods are selected for FLU, FMG and FI, it will
be necessary to compute the influence of land use, management and inputs separately and divide the associated
stock change dependence. This can be accomplished by modifying Equation 2.25 so that SOC at time T and 0-T
is computed individually for each of the stock change factors (i.e., SOC is computed with FLU only, then
computed with FMG, and finally computed with FI). The differences are computed for the stocks associated with
land use, management, and input, dividing by their respective D values, and then the changes are summed.

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49
50
51
52
53
54
55

Changes in C stocks normally occur in a non-linear fashion, and it is possible to further develop the time
dependence of stock change factors to reflect this pattern. For changes in land use or management that cause a
decrease in soil C content, the rate of change is highest during the first few years, and progressively declines
with time. In contrast, when soil C is increasing due to land-use or management change, the rate of accumulation
tends to follow a sigmoidal curve, with rates of change being slow at the beginning, then increasing and finally
decreasing with time. If historical changes in land-use or management practices are explicitly tracked by resurveying the same locations (i.e., Approach 2 or 3 activity data, see Chapter 3), it may be possible to implement
a Tier 2 method that incorporates the non-linearity of changes in soil C stock.

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58

Similar to time dependence, the depth over which impacts are measured may vary from the default approach.
However, it is important that the reference C stocks (SOCRef) and stock change factors (FLU, FMG, FI) be
determined to a common depth, and that they are consistent across each land-use sector in order to deal with

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conversions among uses without artificially inflating or deflating the soil C stock change estimates. It is good
practice to document the source of information and underlying basis for the new factors in the reporting process.

3
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5
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7
8
9
10

A Tier 2 approach for CO2 emissions associated with drainage of organic soils incorporates country-specific
information into the inventory to estimate the emissions using Equation 2.26 (see the previous Tier 1 section for
additional discussion on the general equations and application of this method). Also, Tier 2 uses the same
procedural steps for calculations as provided for Tier 1. Potential improvements to the Tier 1 approach may
include: 1) a derivation of country-specific emission factors, 2) specification of climate regions considered more
suitable for the country, or 3) a finer, more detailed classification of management systems attributed to a land-use
category.

11
12
13
14
15
16

Derivation of country-specific emission factors is good practice if experimental data are available. Moreover, it
is good practice to use a finer classification for climate and management systems if there are significant
differences in measured C loss rates among the proposed classes. Note that any derivation must be accompanied
with sufficient land-use/management activity and environmental data to represent the proposed climate regions
and management systems at the national scale. Developing the Tier 2 inventory for organic soils has similar
considerations as mineral soils discussed in previous section.

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19
20
21

Country-specific emission factors for organic soils can be based on measurements of annual declines in C stocks
for the whole soil profile. Another alternative is to use land subsidence as a surrogate measure for C loss
following drainage (e.g., Armentano and Menges, 1986). C loss is computed as a the fraction of the annual
subsidence attributed to oxidation of organic matter, C content of the mineralized organic matter, and bulk
density of the soil (Ogle et al., 2003).

22
23

Soil Inorganic C

24
25
26
27
28
29
30
31
32
33
34
35
36
37

Tier 3: Advanced Estimation Systems

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44
45
46

Mineral Soils

47
48
49
50
51
52

Tier 3 modelling approaches are capable of addressing the influence of land use and management with a
dynamic representation of environmental conditions that affect the processes controlling soil C stocks, such as
weather, edaphic characteristics, and other variables. The impact of land use and management on soil C stocks
can vary as environmental conditions change, and such changes are not captured in lower Tiers, which may
create biases in those results. Consequently, Tier 3 approaches are capable of providing a more accurate
estimation of C stock changes associated with land-use and management activity.

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56

For Tier 3 approaches, a set of benchmark sites will be needed to evaluate model results. Ideally, a series of
permanent, benchmark monitoring sites would be established with statistically replicated design, capturing the
major climatic regions, soil types, and management systems as well as system changes, and would allow for
repeated measurements of soil organic C stocks over time (Smith, 2004a). Monitoring is based on re-sampling

Organic Soils

See discussion for this sub-category under Tier 1.


Tier 3 approaches for soil C involve the development of an advanced estimation system that will typically better
capture annual variability in fluxes, unlike Tier 1 and 2 approaches that mostly assume a constant annual change
in C stocks over an inventory time period based on a stock change factor. Essentially, Tier 1 and 2 represent
land-use and management impacts on soil C stocks as a linear shift from one equilibrium state to another. To
understand the implications better, it is important to note that soil C stocks typically do not exist in an absolute
equilibrium state or change in a linear manner through a transition period, given that many of the driving
variables affecting the stocks are dynamic, periodically changing at shorter time scales before a new near
equilibrium is reached. Tier 3 approaches can address this non-linearity using more advanced models than Tier
1 and 2 methods, and/or by developing a measurement-based inventory with a monitoring network. In addition,
Tier 3 inventories are capable of capturing longer-term legacy effects of land use and management. In contrast,
Tier 1 and 2 approaches typically only address the most recent influence of land use and management, such as
the last 20 years for mineral C stocks. See Section 2.5 (Generic Guidance for Tier 3 methods) for additional
discussion on Tier 3 methods beyond the text given below.
Model-based approaches can use mechanistic simulation models that capture the underlying processes driving
carbon gains and losses from soils in a quantitative framework, such as the influence of land use and
management on processes controlling carbon input resulting from plant production and litter fall as well as
microbial decomposition (e.g., McGill, 1996; Smith et al., 1997b; Smith et al., 2000; Falloon and Smith, 2002;
and Tate et al., 2005). Note that Tier 3 methods provide the only current opportunity to explicitly estimate the
impact of soil erosion on C fluxes. In addition, Tier 3 model-based approaches may represent C transfers
between biomass, dead biomass and soils, which are advantageous for ensuring conservation of mass in
predictions of C stock changes in these pools relative to CO2 removals and emissions to the atmosphere.

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plots every 3 to 5 years or each decade; shorter sampling frequencies are not likely to produce significant
differences due to small annual changes in C stocks relative to the large total amount of C in a soil (IPCC, 2000;
Smith, 2004b).

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In addition to model-based approaches, Tier 3 methods afford the opportunity to develop a measurement-based
inventory using a similar monitoring network as needed for model evaluation. However, measurement networks,
which serve as the basis for a complete inventory, will have a considerably larger sampling density to minimize
uncertainty, and to represent all management systems and associated land-use changes, across all climatic
regions and major soil types (Sleutel et al., 2003; Lettens et al., 2004). Measurement networks can be based on
soil sampling at benchmark sites or flux tower networks. Flux towers, such as those using eddy covariance
systems (Baldocchi et al., 2001), constitute a unique case in that they measure the net exchange of CO2 between
the atmosphere and land surface. Thus, with respect to changes in C stocks for the soil pool, flux tower
measurement networks are subject to the following caveats: 1) towers need to occur at a sufficient density to
represent fluxes for the entire country; 2) flux estimates need to be attributed to individual land-use sectors and
specific land-use and management activities; and 3) CO2 fluxes need to be further attributed to individual pools
including stock changes in soils (also biomass and dead organic matter). Additional considerations about soil
measurements are given in the previous section on Tier 2 methods for mineral soils (See stock change factor
discussion).

18
19

It is important to note that measurement based inventories represent full C estimation approaches, addressing all
influences on soil C stocks. Partial estimation of only land-use and management effects may be difficult.

20
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24
25
26

Organic Soils

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36

Soil Inorganic C
A Tier 3 approach may be further developed to estimate fluxes associated with management impacts on soil
inorganic C pools. For example, irrigation can have an impact on soil inorganic C stocks and fluxes, but the
direction and magnitude depends on the source and nature of irrigation water and the source, amount, and fate of
discharged dissolved inorganic C. In arid and semi-arid regions, gypsum (CaSO4 . 2H2O) amendments can lead
to an increase in soil inorganic C stocks depending on the amount of Ca2+ that replaces Na+ on soil colloids,
relative to reaction with bicarbonate and precipitation of calcite (CaCO3). Other land-use and management
activities, such as deforestation/afforestation and soil acidifying management practices can also affect soil
inorganic C stocks. However, these changes can cause gains or losses of C in this pool depending on sitespecific conditions and the amount attributable to the activity can be small.

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Few models currently exist for estimating changes in soil inorganic C due to land use and management, and so a
Tier 3 approach may require considerable time and resources to implement. Where data and knowledge are
sufficient and activities that significantly change soil inorganic C stocks are prevalent, it is good practice for
countries to do a comprehensive hydro-geochemical analysis that includes all important land-use and
management activities to estimate their effect on soil inorganic C stocks. A modelling approach would need to
isolate the land-use and management activities from non-anthropogenic effects. Alternatively, a measurementbased approach can be used by periodically sampling benchmark sites in managed lands for determining
inorganic C stocks in situ, or possibly CO2 fluxes, in combination with a monitoring network for soil organic C
as discussed above for mineral soils. However, the amount and fate of dissolved inorganic C would require
further measurements, modelling, or simplifying assumptions, such as all leaching losses of inorganic C are
assumed to be emitted as CO2 to the atmosphere.

48

2.4 NON-CO 2 EMISSIONS

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There are significant emissions of non-greenhouse gases from biomass burning, livestock and manure
management, or soils. N2O emissions from soils are covered in Chapter 11, where guidance is given on methods
that can applied nationally (i.e., irrespective of land-use types) if a country chooses to use national scale activity
data. The guidance on CH4 and N2O emissions from livestock and manure are addressed only in Chapter 10
because emissions do not depend on land characteristics. A generic approach to estimating greenhouse gas
emissions from fire (both CO2 and non-CO2 gases) is described below, with land-use specific enhancements
given in the Forest land, Grassland and Cropland chapters.

Similar to mineral soils, CO2 emissions attributed to land use and management of organic soils can be estimated
with a model or measurement based approach. Dynamic, mechanistic-based models will typically be used to
simulate underlying processes, while capturing the influence of land use and management, particularly the effect
of variable levels of drainage on decomposition. The same considerations that were mentioned for mineral soils
are also important for model- and measurement-based approaches addressing soil C stock changes attributed to
management of organic soils.

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Emissions from fire include not only CO2, but also other greenhouse gases, or precursors of greenhouse gases,
that originate from incomplete combustion of the fuel. These include carbon monoxide (CO), methane (CH4),
non-methane volatile organic carbon (NMVOC) and nitrogen (e.g. N2O, NOx) species (Levine, 1994). In the
1996 Guidelines and GPG2000, non-CO2 greenhouse gas emissions from fire in savannas and burning of crop
residues were addressed along with emissions from forest land and grassland conversion. The methodology
differed somewhat by vegetation type, and fires in forest land were not included. In the GPG-LULUCF,
emissions (CO2 and non-CO2) from fires were addressed, particularly in the chapter covering forest land (losses
of carbon resulting from disturbances). In the Cropland and Grassland chapters, only non-CO2 emissions were
considered, with the assumption that the CO2 emissions would be counterbalanced by CO2 removals from the
subsequent re-growth of the vegetation within one year. This assumption implies maintenance of soil fertility
an assumption which countries may ignore if they have evidence of fertility decline due to fire. In Forest land,
there is generally a lack of synchrony (non-equivalence of CO2 emissions and removals in the year of reporting).

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These Guidelines provide a more generic approach for estimating emissions from fire. Fire is treated as a
disturbance that affects not only the biomass (in particular, above-ground), but also the dead organic matter
(litter and dead wood). The term `biomass burning` is widely used and is retained in these Guidelines, but
acknowledging that fuel components other than live biomass are often very significant, especially in forest
systems. For cropland and grassland having little woody vegetation, reference is usually made to biomass
burning, since biomass is the main pool affected by the fire.

19
20

Countries should apply the following principles when estimating greenhouse gas emissions resulting from fires
in Forest land, Cropland and Grassland:

21
22
23
24
25
26

Coverage of reporting: Emissions (CO2 and non-CO2) need to be reported for all fires (prescribed fires
and wildfires) on managed lands (the exception is CO2 from Grassland, as discussed below). Where
there is a land-use change, any greenhouse gas emission from fire should be reported under the new
land-use category (transitional category). Emissions from wildfires (and escaped prescribed fires) that
occur on unmanaged lands do not need to be reported, unless those lands are followed by a land-use
change (i.e., become managed land).

27
28
29

Fire as a management tool (prescribed burning): greenhouse gas emissions from the area burnt are
reported, and if the fire affects unmanaged land, greenhouse gas emissions should also be reported if the
fire is followed by a land-use change.

30
31
32
33
34
35
36
37
38
39
40

Equivalence (synchrony) of CO2 emissions and removals: CO2 net emissions should be reported where
the CO2 emissions and removals for the biomass pool are not equivalent in the inventory year. For
grassland biomass burning and burning of agriculture residues, the assumption of equivalence is
generally reasonable. However, woody vegetation may also burn in these land categories, and
greenhouse gas emissions from those sources should be reported using a higher Tier method. Further, in
many parts of the world, grazing is the predominant land use in forest land that are regularly burnt (e.g.,
grazed woodlands and savannas), and care must be taken before assuming synchrony in such systems.
For Forest land, synchrony is unlikely if significant woody biomass is killed (i.e. losses represent
several years of growth and C accumulation), and the net emissions should be reported. Examples
include: clearing of native forest and conversion to agriculture and/or plantations and wildfires in forest
land.

41
42
43
44

Fuels available for combustion: Factors that reduce the amount of fuels available for combustion (e.g.,
from grazing, decay, removal of biofuels, livestock feed, etc.) should be accounted for. A mass balance
approach should be adopted to account for residues, to avoid underestimation or double counting (refer
to Section 2.3.2).

45
46
47

Annual reporting: despite the large inherent spatial and temporal variability of fire (in particular that
from wildfires), countries should estimate and report greenhouse gas emissions from fire on an annual
basis.

48
49
50
51
52
53
54
55
56
57

These Guidelines provide a comprehensive approach for estimating carbon stock changes and non-CO2
emissions resulting from fire in the Forest land (including those resulting from forest conversion), and non-CO2
emissions in the Cropland and Grassland. Non-CO2 emissions are addressed for the following five types of
burning: (1) grassland burning (which includes perennial woody shrubland and savanna burning); (2) agricultural
residues burning; (3) burning of litter, understory and harvest residues in forest land, (4) burning following forest
clearing and conversion to agriculture; and (5) other types of burning (including those resulting from wildfires).
Direct emissions of CO2 are also addressed for items (3) and (4) and (5). Since estimating emissions in these
different categories have many elements in common, this section provides a generic approach to estimate CO2
and non-CO2 emissions from fire, to avoid repetition in specific land-use sections that address emissions from
fire in these Guidelines.

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2
3
4
5

Prescribed burning of savannas is included under the grassland biomass burning section (Chapter 6 Grassland,
Section 6.3.4). It is important to avoid double counting when estimating greenhouse gas emissions from
savannas that have a vegetation physiognomy characteristic of forest land. An example of this is the cerrado
(dense woodland) formation in Brazil which, although being a type of savanna, is included under forest land, due
to its biophysical characteristics.

6
7
8
9
10
11
12

In addition to the greenhouse gas emissions from combustion, fires may lead to the creation of an inert carbon
stock (charcoal or char). Post-fire residues comprise unburned and partially burned components, as well as a
small amount of char that due to its chemical nature is highly resistant to decomposition. The knowledge of the
rates of char formation under contrasting burning conditions and subsequent turnover rates is currently too
limited (Forbes et al., 2006; Preston and Schmidt, 2006) to allow development of a reliable methodology for
inventory purposes, and hence is not included in these Guidelines. A technical basis for further methodological
development is included in Appendix 1.

13
14
15

Additionally, although emissions of NMVOC also occur as a result of fire, they are not addressed in the present
Guidelines due to the paucity of the data and size of uncertainties in many of the key parameters needed for the
estimation, which prevent the development of reliable emission estimates.

16

METHOD DESCRIPTION

17
18
19
20
21
22

Each relevant section in these Guidelines includes a three-tiered approach to address CO2 (where applicable) and
non-CO2 greenhouse gas emissions from fire. The choice of Tier can be made following the steps in the decision
tree presented in Figure 2.6. Under the Tier 1 approach, the formulation presented in Equation 2.27 can be
applied to estimate CO2 and non-CO2 emissions from fire, using the default data provided in this chapter and in
the relevant land-use sections of these Guidelines. Higher Tiers involve a more refined application of Equation
2.27.

23
24
25
26
27
28
29
30
31

Since Tier 1 methodology adopts a simplified approach to estimating the dead organic matter pool (see Section
2.3.2), certain assumptions must be made when estimating net greenhouse gas emissions from fire in those
systems (e.g. forest land, and forest land converted to another land use), where dead organic matter can be a
major component of the fuel burnt. Emissions of CO2 from dead organic matter are assumed to be zero in forests
that are burnt, but not killed by fire. If the fire is of sufficient intensity to kill a portion of the forest stand, under
Tier 1 methodology, the C contained in the killed biomass is assumed to be immediately released to the
atmosphere. This Tier 1 simplification may result in an overestimation of actual emissions in the year of the fire,
if the amount of biomass carbon killed by the fire is greater than the amount of dead wood and litter carbon
consumed by the fire.

32
33
34
35
36
37

Non-CO2 greenhouse gas emissions are estimated for all fire situations. Under Tier 1, non-CO2 emissions are
best estimated using the actual fuel consumption provided in Table 2.4, and appropriate emission factors (Table
2.5) (i.e., not including newly killed biomass as a component of the fuel consumed). Clearly, if fire in forests
contributes significantly to net greenhouse gas emissions, countries are encouraged to develop a more complete
methodology (higher tiers) which includes the dynamics of dead organic matter and improves the estimates of
direct and post-fire emissions.

38
39
40
41
42
43

For Forest land converted to another land uses, organic matter burned is derived from both newly felled
vegetation and existing dead organic matter, and CO2 emissions should be reported. In this situation, estimates
of total fuel consumed (Table 2.4) can be used to estimate emissions of CO2 and non- greenhouse gases using
Equation 2.27. Care must be taken, however, to ensure that dead organic matter carbon losses during the landuse conversion are not double counted in Equations 2.27 (as losses from burning) and Equation 2.23 (as losses
from decay).

44
45

A generic methodology to estimate the emissions of individual greenhouse gases for any type of fire is
summarized in Equation 2.27.

46
47
48

EQUATION 2.27
ESTIMATION OF GREENHOUSE GAS EMISSIONS FROM FIRE

49

L fire = A M B C f Gef 10 6

50

Where:

51

Lfire = amount of greenhouse gas emissions from fire, tonnes of each GHG e.g., CH4, N2O, etc.

52

A = area burned, ha)

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2
3

MB = mass of fuel available for combustion, tonnes ha-1. This includes biomass, ground litter and dead
wood. When Tier 1 methods are used then litter and dead wood pools are assumed zero, except
where there is a land-use change (see Section 2.3.2.2).

Cf = combustion factor, dimensionless (default values in Table 2.6)

Gef = emission factor, g kg-1 dry matter burnt (default values in Table 2.5)

6
7

Note: Where data for MB and Cf are not available, a default value for the amount of fuel actually burnt
(the product of MB and Cf ) can be used (Table 2.4) under Tier 1 methodology.

8
9

For CO2 emissions, Equation 2.27 relates to Equation 2.14, which estimates the annual amount of live biomass
loss from any type of disturbance.

10
11
12
13
14
15

The amount of fuel that can be burned is given by the area burned and the density of fuel present on that area.
The fuel density can include biomass, dead wood and litter, which vary as a function of the type, age and
condition of the vegetation. The type of fire also affects the amount of fuel available for combustion. For
example, fuel available for low-intensity ground fires in forests will be largely restricted to litter and dead
organic matter on the surface, while a higher-intensity crown fire can also consume substantial amounts of tree
biomass.

16
17
18
19
20
21
22
23
24

The combustion factor is a measure of the proportion of the fuel that is actually combusted, which varies as a
function of the size and architecture of the fuel load (i.e. a smaller proportion of large, coarse fuel such as tree
stems will be burned compared to fine fuels, such as grass leaves), the moisture content of the fuel and the type
of fire (i.e. intensity and rate of spread which is markedly affected by climatic variability and regional
differences as reflected in Table 2.6). Finally, the emission factor gives the amount of a particular greenhouse
gas emitted per unit of dry matter combusted, which can vary as a function of the carbon content of the biomass
and the completeness of combustion. For species with high N concentrations, NOx and N2O emissions from fire
can vary as a function of the N content of the fuel. A comprehensive review of emission factors was conducted
by Andreae and Merlet (2001) and is summarized in Table 2.5.

25
26
27
28

Tier 2 methods employ the same general approach as Tier 1 but make use of more refined country-derived
emission factors and/or more refined estimates of fuel densities and combustion factors than those provided in
the default tables. Tier 3 methods are more comprehensive and include considerations of the dynamics of fuels
(biomass and dead organic matter).

29

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2

Figure 2.6 Generic decision tree for identification of appropriate tier to estimate greenhouse
gas emissions from fire in a land-use category

3
4

START

5
6
Box 3: Tier 3
Are
detailed data on
biomass burning available to
estimate GHG emissions
using advanced models
or methods?

Use the detailed


biomass burning data
for Tier 3 method

Box 2: Tier 2
Are
country-specific activity
data emission factors
available?

Is
prescribed or
wildfire a key
category
(Note 1)?

Collect data for the


Tier 3 or Tier 2
method

Use country-specific
activity data and
emission factors for the
Tier 2 method

Are
aggregate data on
biomass burning
available?
Gather data on
burning

Use aggregate data and


default emission factors
for Tier 1 method

Box 1: Tier 1

Note 1: See Volume 1 Chapter 4, "Methodological Choice and Identification of Key Categories" (noting
Section 4.1.2 on limited resources), for discussion of key categories and use of decision trees.

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2

TABLE 2.4
FUEL (DEAD ORGANIC MATTER PLUS LIVE BIOMASS)BIOMASS CONSUMPTION VALUES (TONNES
-1
MATTER HA ) FOR FIRES IN A RANGE OF VEGETATION TYPES

DRY

( To be used in Equation 2.27 , to estimate the product of quantities MB Cf , i.e., an


absolute amount)
Vegetation Type

Primary Tropical
Forest (slash and
burn)

Sub-category

Mean

SE

References

Primary tropical forest

83.9

25.8

7, 15, 66, 3, 16, 17, 45

Primary open tropical forest

163.6

52.1

21,

Primary tropical moist forest

160.4

11.8

37, 73

Primary tropical dry forest

119.6

50.7

8.1

41.1

27.4

61, 35

46.4

8.0

61, 73

42.2

23.6

66, 30

54.1

66, 30

Wildfire (general)

52.8

48.4

2, 33, 66

Crown fire

25.1

7.9

11, 43, 66, 41, 63, 64

Surface fire

21.6

25.1

43, 69, 66, 63, 64, 1

All primary tropical forests

Secondary tropical
forest (slash and
burn)

Young secondary
forest (3-5 yrs)

tropical

Intermediate
secondary
tropical forest (6-10 yrs)

Advanced secondary tropical


forest (14-17 yrs)
All secondary tropical forests
All Tertiary tropical forest

Boreal Forest

Post logging slash burn

69.6

44.8

49, 40, 66, 18

87.5

35.0

10, 67

41.0

36.5

43, 45, 69, 47

53.0

53.6

66, 32, 9

Wildfire

All Eucalypt Forests

2.46

61

Land clearing fire


All Boreal Forest

Eucalypt forests

66

Prescribed fire (surface)

16.0

13.7

66, 72, 54, 60, 9

Post logging slash burn

168.4

168.8

25, 58, 46

Felled, wood removed, and


burned (land-clearing fire)

132.6

69.4

100.8

62, 9

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2
3
4

TABLE 2.4 (CONTINUED)


FUEL (DEAD ORGANIC MATTER PLUS LIVE BIOMASS)BIOMASS CONSUMPTION VALUES (TONNES
-1
DRY MATTER HA ) FOR FIRES IN A RANGE OF VEGETATION TYPES

( To be used in Equation 2.27 , to estimate the product of quantities MB Cf , i.e., an


absolute amount)
Vegetation Type

Other temperate
forests

Mean

SE

References

Wildfire

Sub-category

19.8

6.3

32, 66

Post logging slash burn

77.5

65.0

55, 19, 14, 27, 66

Felled and burned (landclearing fire)

48.4

62.7

53, 24, 71

50.4

53.7

43, 56

All other temperate forests

Shrublands

Shrubland (general)

26.7

4.2

Calluna heath

11.5

4.3

26, 39

Sagebrush

5.7

3.8

66
70, 66

Fynbos

12.9

0.1

14.3

9.0

Savanna woodland

2.5

Savanna parkland

2.7

2.6

0.1

All Shrublands
Savanna Woodlands
(early dry season
burns)*

All savanna woodlands (early dry season burns)


Savanna Woodlands
(mid/late dry season
burns)*

3.3

4.0

1.1

57, 6, 51

Tropical savanna

Tropical/sub-tropical
grassland
Grassland
Tropical/sub-tropical
grassland

Agricultural residues
(Post harvest field
burning)

57

1.8

52, 73

5.3

1.7

59, 57, 31

4.6

1.5

2.1

2.1

5.2

1.7

28
48

9, 73, 12, 57

Grassland

4.1

3.1

43, 9

Tropical pasture~

23.7

11.8

4, 23, 38, 66

Savanna

7.0

2.7

42, 50, 6, 45, 13, 65

10.0

10.1

41

1.4

Tundra

10

Wheat residues

4.0

see Note b

Maize residues

10.0

see Note b

Rice residues

5.5

see Note b

Sugarcane a

6.5

see Note b

All savanna grasslands (mid/late dry season


burns)*
Other Vegetation
Types

57

Savanna parkland

All savanna grasslands (early dry season burns)*

Savanna Grasslands /
Pastures (mid/late
dry season burns)*

28

Savanna woodland

Other savanna woodlands


All savanna woodlands (mid/late dry season burns)*
Savanna Grasslands /
Pastures (early dry
season burns)*

43

Peatland

68, 33
33

* Surface layer combustion only


~

derived from slashed tropical forest (includes unburned woody material)

For sugarcane, data refer to burning before harvest of the crop.

Expert assessment by authors.

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TABLE 2.5
EMISSION FACTORS (g kg-1 DRY MATTER BURNED) FOR VARIOUS TYPES OF BURNING. VALUES ARE MEANS SD AND ARE
BASED ON THE COMPREHENSIVE REVIEW BY ANDREAE AND MERLET (2001)
(To be used as quantity Gef in Equation 2.27)
CO2

CO

CH4

N2O

NOX

Savanna and
grassland

1613
95

65
20

2.3
0.9

0.21
0.10

3.9
2.4

Agricultural
residues

1515
177

92
84

2.7

0.07

2.5
1.0

Tropical
forest

1580
90

104
20

6.8
2.0

0.20

1.6
0.7

Extra tropical
forest

1569
131

107
37

4.7
1.9

0.26
0.07

3.0
1.4

Biofuel
burning

1550
95

78
31

6.1
2.2

0.06

1.1
0.6

Note: The extra tropical forest category includes all other forest types.
Note: For combustion of non-woody biomass in Grassland and Cropland, CO2 emissions do not need to be estimated and reported, because it
is assumed that annual CO2 removals (through growth) and emissions (whether by decay or fire) by biomass are in balance (see earlier
discussion on synchrony in Section 2.4.

2
3
4
5

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2
3

TABLE 2.6
COMBUSTION FACTOR VALUES (PROPORTION OF PREFIRE FUEL BIOMASS CONSUMED) FOR
FIRES IN A RANGE OF VEGETATION TYPES

(Values in column mean are to be used for quantity Cf in Equation 2.27 )


Vegetation Type
Primary Tropical
Forest (slash and
burn)

Sub-category

SD

References

Primary tropical forest

0.32

0.12

7, 8, 15, 56, 66, 3,


16, 53, 17, 45,

Primary open tropical forest

0.45

0.09

21

Primary tropical moist forest

0.50

0.03

37, 73

Primary tropical dry forest

66

0.36

0.13

Young secondary tropical


forest (3-5 yrs)

0.46

61

Intermediate secondary
tropical forest (6-10 yrs)

0.67

0.21

61, 35

Advanced secondary tropical


forest (14-17 yrs)

0.50

0.10

61, 73

All primary tropical forests

Secondary tropical
forest (slash and
burn)

Mean

All secondary tropical forests

0.55

0.06

56, 66, 34, 30

All Tertiary tropical forest

0.59

66, 30

Wildfire (general)

0.40

0.06

33

Crown fire

0.43

0..21

66, 41, 64, 63

surface fire

0.15

0.08

64, 63

Post logging slash burn

0.33

0.13

49, 40, 18

Land clearing fire

0.59

67
45, 47

Boreal Forest

All Boreal Forest

Eucalyptus forests

0.34

0.17

Wildfire

Prescribed fire (surface)

0.61

0.11

72, 54, 60, 9

Post logging slash burn

0.68

0.14

25, 58, 46

Felled and burned (landclearing fire)

0.49

62

All Eucalyptus Forests


Other temperate
forests

0.63

0.13

Post logging slash burn

0.62

0.12

55, 19, 27, 14

Felled and burned (landclearing fire)

0.51

53, 24, 71

0.45

0.16

53, 56

0.95

44

All other temperate forests


Shrubland (general)
Shrublands

Calluna heath

0.71

0.30

26, 56, 39

Fynbos

0.61

0.16

70, 44

0.72

0.25

Savanna woodland

0.22

28

Savanna parkland

0.73

57
22, 29

All Shrublands
Savanna Woodlands
(early dry season
burns)*

Other savanna woodlands

0.37

0.19

All savanna woodlands (early dry season burns)

0.40

0.22

Savanna woodland

0.72

66, 57

Savanna parkland

0.82

0.07

57, 6, 51

Savanna Woodlands
(mid/late dry season
burns)*

Tropical savanna

0.73

0.04

52, 73, 66, 12

Other savanna woodlands

0.68

0.19

22, 29, 44, 31, 57

All savanna woodlands (mid/late dry season burns)* 0.74

0.14

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2

TABLE 2.6 (CONTINUED)


COMBUSTION FACTOR VALUES (PROPORTION OF PREFIRE FUEL BIOMASS CONSUMED)

(Values in column mean are to be used for quantity Cf in Equation 2.27 )

FOR FIRES IN A RANGE OF VEGETATION TYPES

Vegetation Type

Sub-category

Mean

SD

References

Tropical/sub-tropical
grassland$

0.74

28

Savanna Grasslands /
Pastures (early dry
season burns)*

Grassland

48

All savanna grasslands (early dry season burns)*

8
Savanna Grasslands /
Pastures (mid/late
dry season burns)*

9
10

0.74

Tropical/sub-tropical
grassland

0.92

0.11

Tropical pasture~

0.35

0.21

4, 23, 38, 66

0.86

0.12

53, 5, 56, 42, 50,


6, 45, 13, 44, 65,
66

0.77

0.26

Peatland

0.50

20, 44

Tropical Wetlands

0.70

44

Savanna

11
12

All savanna grasslands (mid/late dry season


burns)*

13

Other Vegetation
Types

14
Agricultural residues
(Post harvest field
burning)

15
16
17

44, 73, 66, 12, 57

Wheat residues

0.90

see Note b

Maize residues

0.80

see Note b

Rice residues

0.80

see Note b

Sugarcane a

0.80

see Note b

* Surface layer combustion only


~

18
19

derived from slashed tropical forest (includes unburned woody material)

For sugarcane, data refer to burning before harvest of the crop.

Expert assessment by authors.

20
21

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2.5 ADDITIONAL GENERIC GUIDANCE FOR TIER 3


METHODS

3
4
5
6
7
8
9
10
11

The guidelines in this volume focus mainly on Tier 1 methods, along with general guidance to assist with the
development of a Tier 2 inventory. Less attention is given to Tier 3 methods, but some general guidance is
provided in this section. Tier 3 inventories are advanced systems using measurements and/or modelling, with
the goal of improving the estimation of greenhouse gas (GHG) emissions and removals, beyond what is possible
with Tier 1 or 2 approaches. In this section, guidelines are elaborated that provide a sound scientific basis for the
development of Tier 3 Inventories. These guidelines do not limit the selection of Tier 3 sampling schemes or
modelling approaches, but provide general guidance to assist the inventory developer in the implementation.
Specific issues surrounding Tier 3 approaches for individual source categories may be provided later in the
volume, and supplement the general guidance found in this section.

12

2.5.1 Measurement-Based Tier 3 Inventories

13
14
15
16
17
18
19
20
21

Inventories can be based on direct measurements of C stock changes from which emissions and removals of
carbon are estimated. Measurement of some non-CO2 greenhouse gas emissions is possible, but because of the
high spatial and temporal variability of non-CO2 emissions, Tier 3 methods will likely combine process models
with measurements to estimate non-CO2 emissions. Purely measurement-based inventories, e.g., based on
repeated measurements using a national forest inventory can derive carbon stock change estimates without
relying on process models, but they do require appropriate statistical models for the spatial and temporal scaling
of plot measurements to a national inventory. Approaches based on dynamic models (e.g., process-based
models) to estimate national emissions will be discussed in Section 2.5.2. In general, six steps are involved with
implementation of a Tier 3 measurement-based inventory.

22
23
24
25
26
27
28

Step 1. Develop Sampling Scheme. Sampling schemes can be developed using a variety of approaches, but
typically involve some level of randomization of sampling sites within strata. (Even inventories based on a
regular grid typically select the starting point of the grid at random). Inventory compilers will determine an
appropriate approach given the size of their country, key environmental variables (e.g., climate) and
management systems in their region. The latter two may serve as stratification variables, assuming the sampling
scheme is not completely random. In addition, it is good practice for sampling to provide wide spatial coverage
of emissions and/or removals for a particular key source category.

29
30
31
32
33
34
35

The inventory compiler should establish an appropriate time period over which sites will be re-sampled if using a
repeated measures design. The timing of re-measurement will depend on the rate of stock changes or non-CO2
greenhouse gas emissions. For example, re-measurement periods in boreal and some temperate regions, where
trees grow slowly and DOM pools change little in single years, can be longer than in environments where carbon
dynamics are more rapid. Where fluxes are measured directly, greater temporal and spatial variability will
require more frequent or more intensive sampling to capture fluxes which might otherwise be missing from the
measurement record.

36
37
38

Some approaches do not include re-sampling of the same sites. Such designs are acceptable, but may limit the
statistical power of the analysis, and therefore lead to greater uncertainty. It is likely that a repeated measures
design will provide a better basis for estimating carbon stock changes or emissions in most countries.

39
40
41

It is good practice to develop a methodology handbook explaining the sampling scheme as part of Step 1. This
handbook can be useful for those involved with the measurements, laboratory analyses and other aspects of the
process, as well as possibly providing supporting material for documentation purposes.

42
43
44

Step 2. Select Sampling Sites. Specific sampling sites will be located based on sampling design. It is good
practice to have alternative sites for sampling in case it is not possible to sample some original locations. In a
repeated measures design, the sites will become a monitoring network that is periodically re-sampled.

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Determining sampling locations will likely involve the use of a geographic information system. A geographic
database may include a variety of environmental and management data, such as climate, soils, land use, and
livestock operations, depending on the source category and stratification. If key data are not available at the
national scale, the inventory developer should re-evaluate the design and stratification (if used) in Step 1 and
possibly modify the sampling design.

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Sampling may require coordination among different national ministries, provincial or state governments,
corporate and private land owners. Establishing relationships among these stakeholders can be undertaken before
collecting initial samples. Informing stakeholders about ongoing monitoring may also be helpful and lead to
greater success in implementing monitoring programs.

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Step 3. Collect Initial Samples. Once the final set of sites are determined, a sampling team can visit those
locations, establish plots and collect initial samples. The initial samples will provide initial carbon stocks, or
serve as the first measure of emissions. It is good practice to establish field measurement and laboratory
protocols before the samples are collected. In addition, it may be helpful to take geographic coordinates of plot
locations or sample points with a global positioning system, and, if repeated measures are planned, to
permanently mark the location for ease of finding and re-sampling the site in the future.

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It is good practice to take relevant measurements and notes of the environmental conditions and management at
the site. This will confirm that the conditions were consistent with the design of the sampling scheme, and also
may be used in data analysis (Step 5). If a stratified sampling approach is used, and it becomes apparent that
many or most sites are not consistent with the expected environmental conditions and management systems, it is
good practice to repeat Step 1, re-evaluating and possibly modifying the sampling scheme based on the new
information.

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Step 4. Re-sample the Monitoring Network on a Periodic Basis. For repeated measures designs, sampling sites
will be periodically re-sampled in order to evaluate trends in carbon stocks or non-CO2 emissions over an
inventory time period. The time between re-measurement will depend on the rate of stock changes or the
variability in emissions, the resources available for the monitoring program, and the design of the sampling
scheme.

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If destructive sampling is involved, such as removing a soil core or biomass sample, it is good practice to resample at the same site but not at the exact location in which the sample was removed during the past.
Destructive sampling the exact location is likely to create bias in the measurements. Such biases would
compromise the monitoring and produce results that are not representative of national trends.

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Step 5. Analyze Data and Determine Carbon Stock Changes/Non-CO2 emissions, and infer National Emissions
and Removal Estimates and Measures of Uncertainty. It is good practice to select an appropriate statistical
method for data analysis based on the sampling design. The overall result of the statistical analysis will be
estimates of carbon stock changes or measurements of emissions from which the national emission and removal
estimates can be derived. It is good practice to also include estimates of uncertainty, which will include
measurement errors in the sample collection and laboratory processing (i.e., the latter may be addressed using
standards and through cross-checking results with independent labs), sampling variance associated with
monitoring design and other relevant sources of uncertainty (see discussion for each source category later in this
volume in addition to the uncertainty chapter in Volume I). The analysis may include scaling of measurements
to a larger spatial or temporal domain, which again will depend on the design of the sampling scheme. Scaling
may range from simple averaging or weighted averaging to more detailed interpolation/extrapolation techniques.

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To obtain national estimates of stock changes or emission of non-CO2 greenhouse gases, it is often necessary to
extrapolate measurements using models that take into consideration environmental conditions, management and
other activity data. While the net changes of carbon-based greenhouse gasses can (at least in theory) be estimated
purely by repeated measurements of carbon stocks, statistical and other models are often employed to assist in
the scaling of plot measures to national estimates. National emission estimates of non-CO2 greenhouse gases are
unlikely to be derived from measurements alone because of the expense and difficulty in obtaining the
measurement. For example, N2O emissions from forest fires cannot be measured empirically but are typically
inferred from samples, activity data on the area burned, and fuel consumption estimates. In contrast, soil N2O
emissions can be readily estimated using chambers, but it would be very expensive to establish a network with
the sampling intensity needed to provide national emission estimates based solely on measurements without use
of models for extrapolation.

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It is good practice to analyze emissions relative to environmental conditions in addition to the contribution of
various management practices to those trends. Interpretation of the patterns will be useful in evaluating
possibilities for future mitigation.

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Step 6. Reporting and Documentation. It is good practice to assemble inventory results in a systematic and
transparent manner for reporting purposes. Documentation may include a description of the sampling scheme
and statistical methods, sampling schedule (including re-sampling), stock change and emissions estimates and
the interpretation of emission trends (e.g., contributions of management activities). In addition, QA/QC should
be completed and documented in the report, including quality assurance procedures in which peer-reviewers not
involved with the analysis evaluate the methodology. For details on QA/QC, reporting and documentation, see
the section dealing with the specific source category later in this volume, as well as information provided in
Volume I Chapter 6.

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2.5.2 Model-Based Tier 3 Inventories

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Model-based inventories are developed using empirical, process-based or other types of advanced models. It is
good practice to have independent measurements to confirm that the model is capable of estimating emissions
and removals in the source categories of interest (Prisley and Mortimer, 2004). In general, seven steps are used
to implement a Tier 3 model-based inventory (Figure 2.7).

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Step 1. Select/develop a model for calculating the stock changes and/or greenhouse gas emissions. A model
should be selected or developed that more accurately represents stock changes or non-CO2 greenhouse gas
emissions than is possible with Tier 1 and 2 approaches. As part of this decision, it is good practice to consider
the availability of input data (Steps 3) and the computing resources needed to implement the model (Step 5).

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Figure 2.7 Steps to develop a Tier 3 model-based inventory estimation system.

11
Model Selection/Development

Evaluation using calibration data

Unable
to locate necessary
input data

Does
not capture general
trends from
experiments

Identify Model Inputs

Assess Uncertainties

Implement Model

Evaluation with independent data


(Good Practice)

Model results
unacceptable

Reporting/Documentation

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Step 2. Evaluation with Calibration Data. This is a critical step for inventory development in which model
results are compared directly with measurements that were used for model calibration/parameterization (e.g.,
Falloon and Smith, 2002). Comparisons can be made using statistical tests and/or graphically, with the goal of
demonstrating that the model effectively simulates measured trends for a variety of conditions in the source
category of interest. It is good practice to ensure that the model responds appropriately to variations in activity
data and that the model is able to report results by land-use category as per the conventions laid out in Chapter 3.
Re-calibration of the model or modifications to the structure (i.e., algorithms) may be necessary if the model
does not capture general trends or there are large systematic biases. In some cases, a new model may be selected
or developed based on this evaluation. Evaluation results are an important component of the reporting
documentation, justifying the use of a particular model for quantifying emissions in a source category.

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Step 3. Gather spatio-temporal data on activities and relevant environmental conditions that are needed as
inputs to a model. Models, even those used in Tier 1 and 2 approaches, require specific input information in
order to estimate greenhouse gas emissions and removals associated with a source category. These inputs may
range from weather and soils data to livestock number, forest types, natural disturbances or cropping
management practices. It is good practice for the input data to be consistent with spatio-temporal scale of the
model (i.e., algorithms). For example, if a model operates on a daily time step then the input data should provide
information about daily variation in the environmental characteristic or activity data. In some cases, input data
may be a limiting factor in model selection, requiring some models to be discarded as inappropriate given the
available activity and/or environmental data.

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Step 4. Quantify uncertainties. Uncertainties are due to imperfect knowledge about the activities or processes
leading to greenhouse gas fluxes, and are typically manifested in the model structure and inputs. Consequently,
uncertainty analyses are intended to provide a rigorous measure of the confidence attributed to a model estimate
based on uncertainties in the model structure and inputs, generating a measure of variability in the carbon stock
changes or non-CO2 greenhouse gas fluxes. Volume I Chapter 3 provides specific guidance on appropriate
methods for conducting these analyses. Additional information may also be provided for specific source
categories later in this volume.

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Step 5. Implement the model. The major consideration for this step is that there are enough computing resources
and personnel time to prepare the input data, conduct the model simulations, and analyze the results. This will
depend on the efficiency of the programming script, complexity of the model, as well as the spatial and temporal
extent and resolution of the simulations. In some cases, limitations in computing resources may constrain the
complexity and range of spatial or temporal resolution that can be used in implementing at the national scale
(i.e., simulating at finer spatial and temporal scales will require greater computing resources).

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Step 6. Evaluation with independent data. It is important to realise the difference between Steps 2 and 6. Step 2
involves testing model output with field data that were used as a basis for calibration (i.e., parameterization). In
contrast, evaluation with independent data is done with a completely independent set of data from model
calibration, providing a more rigorous assessment of model components and results. Optimally, independent
evaluation should be based on measurements from a monitoring network or from research sites that were not
used to calibrate model parameters. The network would be similar in principle to a series of sites that are used
for a measurement-based inventory. However, the sampling does not need to be as dense because the network is
not forming the basis for estimating carbon stock changes or non-CO2 greenhouse gas fluxes, as in a purely
measurement-based inventory, but is used to check model results.

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In some cases, independent evaluation may demonstrate that the model-based estimation system is inappropriate
due to large and unpredictable differences between model results and the measured trends from the monitoring
network. Problems may stem from one of three possibilities: errors in the implementation step, poor input data,
or an inappropriate model. Implementation problems typically arise from computer programming errors, while
model inputs may generate erroneous results if these data are not representative of management activity or
environmental conditions. In these two cases, it is good practice for the inventory developer to return to either
Steps 3 or 6 depending on the issue. It seems less likely that the model would be inappropriate if Step 2 was
deemed reasonable. However, if this is the case, it is good practice to return to the model selection/development
phase (Step 1).

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During Step 2 that follows the selection/development step, it is good practice to avoid using the independent
evaluation data to re-calibrate or refine algorithms. If this occurs, these data would no longer be suitable for
independent evaluation, and therefore not serve the purpose for Step 6 in this inventory approach.

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Step 7. Reporting and Documentation. It is good practice to assemble inventory results in a systematic and
transparent manner for reporting purposes. Documentation may include a description of the model, summary of
model input data sources, model evaluation results including sources of experiments and/or measurements data
from monitoring network, stock change and emissions estimates and the interpretation of emission trends (i.e.,
contributions of management activities). QA/QC should be completed and documented in the report. For details

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on QA/QC, reporting and documentation, see the section dealing with the specific source category later in this
volume, as well as information provided in Volume I Chapter 6.

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5

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Baldocchi D., Falge E., Gu L.H., Olson R., Hollinger D., Running S., Anthoni P., Bernhofer C., Davis K., Evans
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Bernoux M., Carvalho M.D.S., Volkoff B., and Cerri C.C. (2002). Brazils soil carbon stocks. Soil Science
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Bhatti J.S., Apps M.J., and Jiang H. (2001). Examining the carbon stocks of boreal forest ecosystems at stand
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Brady, N.C. and Weil, R.R. (1999) The Nature and Properties of Soils. Prentice Hall, Upper Saddle River, New
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Clymo RS (1984) The limits to peat bog growth. Phil. Trans. R. Soc. Lond. B 303:605-654.

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Conant R.T., Paustian K., and Elliott E.T. (2001). Grassland management and conversion into grassland: Effects
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Coomes, D.A.; Allen, R.B.; Scott, N.A.; Goulding, C.; Beets, P. (2002). Designing systems to monitor carbon
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Davidson E. A. and Ackerman I.L. (1993). Changes in soil carbon inventories following cultivation of
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Ellert B.H., Janzen H.H., and McConkey B.G. (2001). Measuring and comparing soil carbon storage. In: R.
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Falloon and Smith (2002) Simulating SOC changes in long-term experiments with the RothC and Century;
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Falloon, P., and P. Smith (2003) Accounting for changes in soil carbon under the Kyoto Protocol: need for
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Forbes,M.S., Raison,R.J. and J.O. Skjemstad (2006). The formation and persistence of Black Carbon(Charcoal)
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Harmon, M.E., Franklin, J.F., Swanson, F.J., Sollins, P., Gregory, S.V., Lattin, J.D., Anderson, N.H., Cline, S.P.,
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Jobbagy E.G., and Jackson R.B. (2000). The vertical distribution of soil organic carbon and its relation to climate
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McGill W. B. (1996). Review and classification of ten soil organic matter models. In: Powlson D.S., Smith P.,
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Smith, P. (2004a). Monitoring and verification of soil carbon changes under Article 3.4 of the Kyoto Protocol.
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5
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Smith, W.N., R.L. Desjardins, and E. Pattey (2000) The net flux of carbon from agricultural soils in Canada
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Tate, K.R., R.H.Wilde, D.J.Giltrap, W.T.Baisden, S. Saggar, N.A.Trustrum, N.A. Scott, J.P. Barton (2005) Soil
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REFERENCES TO TABLES 2.4 AND 2.6

27

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29

2.

Amiro, B., J. Todd, and B. Wotton, Direct carbon emissions from Canadian forest fires, 1959-1999. CANADIAN JOURNAL OF
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Barbosa, R. and P. Fearnside, Pasture burning in Amazonia: Dynamics of residual biomass and the storage and release of aboveground carbon. JOURNAL OF GEOPHYSICAL RESEARCH, 1996. 101(D20): p. 25847-25857.

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Cachier, H., C. Liousse, M. Pertusiot, A. Gaudichet, F. Echalar, and J. Lacaux, African fire Particulate emissions and atmospheric
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Carvalho, J., F. Costa, C. Veras, et al., Biomass fire consumption and carbon release rates of rainforest-clearing experiments
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10. Cofer, W., J. Levine, E. Winstead, and B. Stocks, Gaseous emissions from Canadian boreal forest fires. ATMOSPHERIC
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11. Cofer, W., E. Winstead, B. Stocks, J. Goldammer, and D. Cahoon, Crown fire emissions of CO2, CO, H2, CH4, and TNMHC from a
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12. De Castro, E.A. and J.B. Kauffman, Ecosystem structure in the Brazilian Cerrado: a vegetation gradient of above-ground biomass,
root mass and consumption by fire. Journal of Tropical Ecology, 1998. 14(3): p. 263-283.

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13. Delmas, R., On the emission of carbon, nitrogen and sulfur in the atmosphere during bushfires in intertropical savannah zones.
GEOPHYSICAL RESEARCH LETTERS, 1982. 9(7): p. 761-764.

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14. Einfeld, W., D. Ward, and C. Hardy, Effects of fire behaviour on prescribed fire smoke characteristics: A case study, in Global
Biomass Burning: Atmospheric, Climatic, and Biospheric Implications, J. Levine, Editor. 1991, MIT Press: Massechusetts. p. 412-419.

3
4
5

15. Fearnside, P., N. Filho, and F. Fernandes, Rainforest burning and the global carbon budget: biomass, combustion efficiency and
charcoal formation in the Brazilian Amazon. JOURNAL OF GEOPHYSICAL RESEARCH-ATMOSPHERES, 1993. 98(D9): p.
16733-16743.

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16. Fearnside, P., P. Graca, N. Filho, J. Rodrigues, and J. Robinson, Tropical forest burning in Brazilian Amazonia: measurement of
biomass loading, burning efficiency and charcoal formation at Altamira, Para. FOREST ECOLOGY AND MANAGEMENT, 1999.
123: p. 65-79.

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10

17. Fearnside, P., P. Graca, and J. Rodrigues, Burning of Amazonian rainforests: burning efficiency and charcoal formation in forest
cleared for cattle pasture near Manaus, Brazil. FOREST ECOLOGY AND MANAGEMENT, 2001. 146: p. 115-128.

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12

18. Feller, M. The influence of fire severity, not fire intensity, on understory vegetation biomass in British Columbia. in 13th Fire and
Forest Meteorology Conference. 1998. Lorne, Australia: IAWF.

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19. Flinn, D., P. Hopmans, P. Farell, and J. James, Nutrient loss from the burning of Pinus radiata logging residue. AUSTRALIAN
FOREST RESEARCH, 1979. 9: p. 17-23.

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20. Garnett, M., P. Ineson, and A. Stevenson, Effects of burning and grazing on carbon sequestration in a Pennine blanket bog, UK.
HOLOCENE, 2000. 10(6): p. 729-736.

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18

21. Graca, P., P. Fearnside, and C. Cerri, Burning of Amazonian forest in Ariquemes, Rondonia, Brazil: biomass, charcoal formation and
burning efficiency. FOREST ECOLOGY AND MANAGEMENT, 1999. 120: p. 179-191.

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20

22. Griffin, G. and M. Friedel, Effects of fire on central Australian rangelands. I Fire and fuel characteristics and changes in herbage and
nutrients. AUSTRALIAN JOURNAL OF ECOLOGY, 1984. 9: p. 381-393.

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23. Guild, L., J. Kauffman, L. Ellingson, and D. Cummings, Dynamics associated with total above-ground biomass, C, nutrient pools, and
biomass burning of primary forest and pasture in Rondonia, Brazil during SCAR-B. JOURNAL OF GEOPHYSICAL RESEARCHATMOSPHERES, 1998. 103(D24): p. 32091-32100.

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24. Gupta, P., V. Prasad, C. Sharma, A. Sarkar, Y. Kant, K. Badarinath, and A. Mitra, CH4 emissions from biomass burning of shifting
cultivation areas of tropical deciduous forests - experimental results from ground - based measurements. CHEMOSPHERE GLOBAL CHANGE SCIENCE, 2001. 3: p. 133-143.

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25. Harwood, C. and W. Jackson, Atmospheric losses of four plant nutrients during a forest fire. AUSTRALIAN FORESTRY, 1975.
38(2): p. 92-99.

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26. Hobbs, P. and C. Gimingham, Studies on fire in Scottish heathland communities. JOURNAL OF ECOLOGY, 1984. 72: p. 223-240.

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27. Hobbs, P., J. Reid, J. Herring, et al., Particle and trace-gas measurements from prescribed burns of forest products in the Pacific
Northwest, in Biomass Burning and Global Change: Volume 2. Biomass burning in South America, Southeast Asia, and temperate and
boreal ecosystems, and the oil fires of Kuwait, J. Levine, Editor. 1996, MIT Press: Cambridge. p. 697-715.

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34

28. Hoffa, E., D. Ward, W. Hao, R. Susott, and R. Wakimoto, Seasonality of carbon emissions from biomass burning in a Zambian
savanna. JOURNAL OF GEOPHYSICAL RESEARCH-ATMOSPHERES, 1999. 104(D11): p. 13841-13853.

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29. Hopkins, B., Observations on savanna burning in the Olokemeji forest reserve, Nigeria. JOURNAL OF APPLIED ECOLOGY, 1965.
2(2): p. 367-381.

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30. Hughes, R., J. Kauffman, and D. Cummings, Fire in the Brazilian Amazon 3. Dynamics of biomass, C, and nutrient pools in
regenerating forests. OECOLOGIA, 2000. 124(4): p. 574-588.

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31. Hurst, D., W. Griffith, and G. Cook, Trace gas emissions from biomass burning in tropical Australian savannas. JOURNAL OF
GEOPHYSICAL RESEARCH, 1994. 99(D8): p. 16441-16456.

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32. Jackson, W., Nutrient stocks in Tasmanian vegetation and approximate losses due to fire. Papers and proceedings of the Royal Society
of Tasmania, 2000. 134: p. 1-18.

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33. Kasischke, E., N. French, L. Bourgeau-Chavez, and N. Christensen, Estimating release of carbon from 1990 and 1991 forest fires in
Alaska. JOURNAL OF GEOPHYSICAL RESEARCH-ATMOSPHERES, 1995. 100(D2): p. 2941-2951.

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34. Kauffman, J. and C. Uhl, 8 interactions of anthropogenic activities, fire, and rain forests in the Amazon Basin, in Fire in the Tropical
Biota: Ecosystem Processes and Global Changes, J. Goldammer, Editor. 1990, Springer-Verlag: Berlin. p. 117-134.

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35. Kauffman, J., R. Sanford, D. Cummings, I. Salcedo, and E. Sampaio, Biomass and nutrient dynamics associated with slash fires in
neotropical dry forests. ECOLOGY, 1993. 74(1): p. 140-151.

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36. Kauffman, J., D. Cummings, and D. Ward, Relationships of fire, biomass and nutrient dynamics along a vegetation gradient in the
Brazilian cerrado. JOURNAL OF ECOLOGY, 1994. 82: p. 519-531.

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37. Kauffman, J., D. Cummings, D. Ward, and R. Babbitt, Fire in the Brazilian Amazon: 1. Biomass, nutrient pools, and losses in slashed
primary forests. OECOLOGIA, 1995. 104: p. 397-408.

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38. Kauffman, J., D. Cummings, and D. Ward, Fire in the Brazilian Amazon: 2. Biomass, nutrient pools and losses in cattle pastures.
OECOLOGIA, 1998. 113: p. 415-427.

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39. Kayll, A., Some characteristics of heath fires in north-east Scotland. JOURNAL OF APPLIED ECOLOGY, 1966. 3(1): p. 29-40.

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40. Kiil, A., Fuel consumption by a prescribed burn in spruce-fir logging slash in Alberta. THE FORESTRY CHRONICLE, 1969: p. 100102.

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41. Kiil, A., Fire spread in a black spruce stand. CANADIAN FORESTRY SERVICE BI-MONTHLY RESEARCH NOTES, 1975. 31(1):
p. 2-3.

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42. Lacaux, J., H. Cachier, and R. Delmas, Biomass burning in Africa: an overview of its impact on atmospheric chemistry, in Fire in the
Environment: The Ecological, Atmospheric, and Climatic Importance of Vegetation Fires, P. Crutzen and J. Goldammer, Editors. 1993,
John Wiley & Sons: Chichester. p. 159-191.

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43. Lavoue, D., C. Liousse, H. Cachier, B. Stocks, and J. Goldammer, Modeling of carbonaceous particles emitted by boreal and
temperate wildfires at northern latitudes. JOURNAL OF GEOPHYSICAL RESEARCH-ATMOSPHERES, 2000. 105(D22): p. 2687126890.

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44. Levine, J., Global biomass burning: a case study of the gaseous and particulate emissions released to the atmosphere during the 1997
fires in Kalimantan and Sumatra, Indonesia, in Biomass Burning and its Inter-relationships with the Climate System, J. Innes, M.
Beniston, and M. Verstraete, Editors. 2000, Kluwer Academic Publishers: Dordrecht. p. 15-31.

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45. Levine, J. and W. Cofer, Boreal forest fire emissions and the chemistry of the atmosphere, in Fire, Climate Change and Carbon
Cycling in the Boreal Forest, E. Kasischke and B. Stocks, Editors. 2000, Springer-Verlag: New York. p. 31-48.

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13

46. Marsdon-Smedley, J. and A. Slijepcevic, Fuel characteristics and low intensity burning inEucalyptus obliqua wet forest at the Warra
LTER site. TASFORESTS, 2001. 13(2): p. 261-279.

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47. Mazurek, M., W. Cofer, and J. Levine, Carbonaceous aerosols from prescribed burning of a boreal forest ecosystem, in Global
Biomass Burning: Atmospheric, Climatic, and Biospheric Implications, J. Levine, Editor. 1991, MIT Press: Massechusetts. p. 258-263.

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17

48. McNaughton, S., N. Stronach, and N. Georgiadis, Combustion in natural fires and global emissions budgets. ECOLOGICAL
APPLICATIONS, 1998. 8(2): p. 464-468.

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49. McRae, D. and B. Stocks. Large-scale convection burning in Ontario. in Ninth Conference on Fire and Forest Metearology. 1987. San
Diego, California: American Meterological Society.

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50. Moula, M., J. Brustet, H. Eva, J. Lacaux, J. Gregoire, and J. Fontan, Contribution of the Spread-Fire Model in the study of savanna
fires, in Biomass Burning and Global Change: Volume 1. Remote Sensing, Modeling and Inventory Development, and Biomass
Burning in Africa, J. Levine, Editor. 1996, MIT Press: Cambridge. p. 270-277.

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51. Neil, R., N. Stronach, and S. McNaughton, Grassland fire dynamics in the Serengeti ecosystem, and a potential method of
retrospectively estimating fire energy. JOURNAL OF APPLIED ECOLOGY, 1989. 26: p. 1025-1033.

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52. Pivello, V. and L. Coutinho, Transfer of macro-nutrients to the atmosphere during experimental burnings in an open cerrado
(Brazilian savanna). JOURNAL OF TROPICAL ECOLOGY, 1992. 8: p. 487-497.

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28

53. Prasad, V., Y. Kant, P. Gupta, C. Sharma, A. Mitra, and K. Badarinath, Biomass and combustion characteristics of secondary mixed
deciduous forests in Eastern Ghats of India. ATMOSPHERIC ENVIRONMENT, 2001. 35(18): p. 3085-3095.

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54. Raison, R., P. Khana, and P. Woods, Transfer of elements to the atmosphere during low intensity prescribed fires in three Australian
subalpine eucalypt forests. CANADIAN JOURNAL OF FOREST RESEARCH, 1985. 15: p. 657-664.

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55. Robertson, K., Loss of organic matter and carbon during slash burns in New Zealand exotic forests. NEW ZEALAND JOURNAL OF
FORESTRY SCIENCE, 1998. 28(2): p. 221-241.

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56. Robinson, J., On uncertainty in the computation of global emissions from biomass burning. CLIMATIC CHANGE, 1989. 14: p. 243262.

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57. Shea, R., B. Shea, J. Kauffman, D. Ward, C. Haskins, and M. Scholes, Fuel biomass and combustion factors associated with fires in
savanna ecosystems of South Africa and Zambia. JOURNAL OF GEOPHYSICAL RESEARCH, 1996. 101(D19): p. 23551-23568.

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58. Slijepcevic, A., Loss of carbon during controlled regeneration burns in Eucalyptus obliqua forest. TASFORESTS, 2001. 13(2): p. 281289.

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59. Smith, D. and T. James, Characteristics of prescribed burns andresultant short-term environmental changes in Populus tremuloides
woodland in southern Ontario. CANADIAN JOURNAL OF BOTANY, 1978. 56: p. 1782-1791.

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60. Soares, R. and G. Ribeiro. Fire behaviour and tree stumps sprouting in Eucalyptus prescribed burnings in southern Brazil. in III
International Conference on Forest Fire Research / 14th Conference on Fire and Forest Meteorology. 1998. Luso.

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61. Sorrensen, C., Linking smallholder land use and fire activity: examining biomass burning in the Brazilian Lower Amazon. FOREST
ECOLOGY AND MANAGEMENT, 2000. 128(1-2): p. 11-25.

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46

62. Stewart, H. and D. Flinn, Nutrient losses from broadcast burning of Eucalyptus debris in north-east Victoria. AUSTRALIAN FOREST
RESEARCH, 1985. 15: p. 321-332.

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63. Stocks, B., Fire behaviour in immature jack pine. CANADIAN JOURNAL OF FOREST RESEARCH, 1987. 17: p. 80-86.

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64. Stocks, B., Fire behaviour in mature jack pine. CANADIAN JOURNAL OF FOREST RESEARCH, 1989. 19: p. 783-790.

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51

65. Stocks, B., B. van Wilgen, W. Trollope, D. McRae, J. Mason, F. Weirich, and A. Potgieter, Fuels and fire behaviour dynamics on
large-scale savanna fires in Kruger National Park, South Africa. JOURNAL OF GEOPHYSICAL RESEARCH, 1996. 101(D19): p.
23541-23550.

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66. Stocks, B. and J. Kauffman, Biomass consumption and behaviour of wildland fires in boreal, temperate, and tropical ecosystems:
parameters necessary to interpret historic fire regimes and future fire scenarios, in Sediment Records of Biomass Burning and Global
Change, J. Clark, et al., Editors. 1997, Springer-Verlag: Berlin. p. 169-188.

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67. Susott, R., D. Ward, R. Babbitt, and D. Latham, The measurement of trace emissions and combustion characteristics for a mass fire, in
Global Biomass Burning: Atmospheric, Climatic, and Biospheric Implications, J. Levine, Editor. 1991, MIT Press: Massechusetts. p.
245-257.

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68. Turetsky, M. and R. Wieder, A direct approach to quantifying organic matter lost as a result of peatland wildfire. CANADIAN
JOURNAL OF FOREST RESEARCH, 2001. 31(2): p. 363-366.

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69. Van Wagner, C., Duff consumption by fire in eastern pine stands. CANADIAN JOURNAL OF FOREST RESEARCH, 1972. 2: p. 3439.

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4

70. van Wilgen, B., D. Le Maitre, and F. Kruger, Fire behaviour in South African fynbos (macchia) vegetation and predictions from
Rothermel's fire model. JOURNAL OF APPLIED ECOLOGY, 1985. 22: p. 207-216.

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71. Vose, J. and W. Swank, Site preparation burning to improve southern Appalachian pine-hardwood stands: above-ground biomass,
forest floor mass, and nitrogen and carbon pools. CANADIAN JOURNAL OF FOREST RESEARCH, 1993. 23: p. 2255-2262.

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72. Walker, J., Fuel dynamics in Australian vegetation, in Fire and the Australian Biota, A. Gill, R. Groves, and I. Noble, Editors. 1981,
Australian Academy of Science: Canberra. p. 101-127.

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73. Ward, D., R. Susott, J. Kauffman, et al., Smoke and fire characteristics for Cerrado and deforestation burns in Brazil: BASE-B
Experiment. JOURNAL OF GEOPHYSICAL RESEARCH, 1992. 97(D13): p. 14601-14619.

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Chapter 3: Consistent Representation of Lands

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CHAPTER 3

CONSISTENT REPRESENTATION OF
LANDS

Draft 2006 IPCC Guidelines for National Greenhouse Gas Inventories

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1

Authors

Kathryn Bickel (USA) and Gary Richards (Australia)

Michael Khl (Germany), and Ricardo Leonardo Vianna Rodrigues (Brazil)

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Contributing Author

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Goran Stahl (Sweden)

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Chapter 3: Consistent Representation of Lands

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Contents

3.1

Introduction.................................................................................................................................... 5

3.2

Land-use categories ....................................................................................................................... 5

3.3

Representing Land-use Areas ........................................................................................................ 8

3.3.1

Three Approaches ......................................................................................................................... 10

Approach 1: Total Land-use Area, no data on conversions between land uses

10

Approach 2: Total Land-use Area, including changes between categories

12

Approach 3: Spatially-explicit Land-use Conversion Data

13

10

3.3.2

Using the Data............................................................................................................................... 13

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3.3.2.1

Stratification of Land-use Data

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3.3.2.2

Preparing Area Data for Emissions and Removals Estimation

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3.4

Matching Land Areas with Factors for Estimating Greenhouse Gas Emissions and Removals .. 18

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3.5

Uncertainties Associated with the APPROACHES ..................................................................... 19

15

ANNEX 3A.1 Examples of International Land Cover Dataset .......................................................................... 21

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ANNEX 3A.2 Development of Land-use Databases........................................................................................... 23

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3A.2.1

Use of Data Prepared for Other Purposes...................................................................................... 23

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3A.2.2

Collection of New Data by Sampling Methods............................................................................. 24

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3A.2.3

Collection of New Data in Complete Inventories ......................................................................... 24

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3A.2.4

Tools for Data Collection.............................................................................................................. 24

21

ANNEX 3A.3 Sampling ...................................................................................................................................... 28

22

3A.3.1

Introduction ................................................................................................................................... 28

23

3A.3.2

Overview on Sampling Principles................................................................................................. 28

24

3A.3.3

Sampling Design ........................................................................................................................... 29

25

3A.3.4

Sampling Methods for Area Estimation ........................................................................................ 31

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3A.3.5

Estimation of areas via proportions............................................................................................... 32

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3A.3.6

Direct estimation of area ............................................................................................................... 32

28

ANNEX 3A.4 Overview of Potential Methods for Developing Approach 3 Datasets ........................................ 33

29

Annex 3A.5

30

Default Climate and Soil Classifications ..................................................................................... 36

References............................................................................................................................................. 41

31

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Figures

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Figure 3.1

Decision tree for preparation of land-use area data............................................................17

Figure 3A.3.1 Principle of sampling .........................................................................................................28

Figure 3A.3.2 Simple random layout of plots (left) and systematic layout (right)....................................30

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Figure 3A.3.3 Use of different configurations of permanent and temporary sampling


units for estimating changes...............................................................................................31

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Figure 3A.4.1 Overview of Approach 3: Direct and repeated assessments of land use
from full spatial coverage...................................................................................................33

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Figure 3A.5.1 Delineation of major climate zones, updated from the 1996 IPCC Guidelines. ..................37

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Figure 3A.5.2 Classification scheme for default climate regions. The classification is
based on elevation, mean annual temperature (MAT), mean annual
precipitation (MAP), mean annual precipitation:potential evapotransporation ratio
(PET:MAP),and frost occurrence.......................................................................................38

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Figure 3A.5.3 Classification scheme for mineral soil types based on USDA taxonomy............................39

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Figure 3A.5.4 Classification scheme for mineral soil types based on World Reference
Base for Soil Resources (WRB) classification...................................................................40

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Tables

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Table 3.1 Example stratifications with Supporting Data for Tier 1 Emissions Estimation Methods............8

22

Table 3.2 Example of approach 1: Available land use data with complete national coverage ................11

23

Table 3.3 Illustrative example of stratification of data for Approach 1 .....................................................12

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Table 3.4 Illustrative example of tabulating all land-use conversion for Approach 2
including nationally defined Strata ....................................................................................14

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Table 3.5 Illustrative example of approach 2 data in a land-use conversion matrix with category
stratification .......................................................................................................................15

28

Table 3.6 Simplified land-use conversion matrix for example approach 2................................................15

29

Table 3.7 Summary of uncertainties under Approaches 1 to 3 ...................................................................20

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Table 3A.3.1 Example of area estimation via proportions..........................................................................32

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Chapter 3: Consistent Representation of Lands

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3.1 INTRODUCTION

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Information, in terms of classification, area data, and sampling that represents various land-use categories, is
needed to estimate the carbon stocks, and the emission and removal of greenhouse gases associated with
Agriculture, Forestry and Other Land Use (AFOLU) activities. This chapter provides guidance on using different
types of data to represent land-use categories, and conversions between land-use categories, so that they are
applied as appropriately and consistently as possible in inventory calculations.

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Countries use various methods to obtain data, including annual census, periodic surveys and remote sensing.
Each of these methods of data collection will yield different types of information (e.g., maps or tabulations), at
different reporting frequencies, and with different attributes. Guidance is provided on the use of three generic
approaches.

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Approach 1 identifies the total area for each individual land-use category within a country, but does not provide
detailed information on the nature of conversions between land uses. Approach 2 introduces tracking of
conversions between land-use categories. Approach 3 extends the information available in Approach 2 by
allowing land-use conversions to be tracked on a spatially explicit basis. Countries may use a mix of Approaches
for different regions over time.

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The guidance presented here is intended to assist countries in making the best use of available data and reducing,
as far as practicable, possible overlaps and omissions in reporting. The guidance allows informed decisions on
the appropriate use of data of different types by those preparing greenhouse gas inventories, but is not intended
to be prescriptive on how data may be collected. Generally, all data should be:

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adequate, i.e., capable of representing land-use categories, and conversions between land-use categories, as
needed to estimate carbon stock changes and greenhouse gas emissions and removals;

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consistent, i.e., capable of representing land-use categories consistently over time, without being unduly
affected by artificial discontinuities in time-series data;

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complete, which means that all land within a country should be included, with increases in some areas
balanced by decreases in others, recognizing the bio-physical stratification of land if needed (and as can be
supported by data) for estimating and reporting emissions and removals of greenhouse gases; and

27

transparent, i.e., data sources, definitions, methodologies and assumptions should be clearly described.

28

The descriptions of land use follow the framework of:

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land-use category - is the broad land use (one of the six land-use categories described below) reported as
either land remaining in a land-use category (i.e., remaining in the same use throughout the inventory timeseries) or land converted to a new land-use category (representing a change in land use).

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sub-category - refers to special circumstances (e.g., areas of grazing within forest land) that are estimated
and reported separately but do not duplicate land in the broad land-use category.

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Land-use categories and sub-categories may be further stratified on the basis of land-use practices and biophysical characteristics in order to create more homogeneous spatial units as may be used for emissions
estimation (see Table 3.1 for examples).

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3.2 LAND-USE CATEGORIES

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The six broad land-use categories described below form the basis of estimating and reporting greenhouse gas
emissions and removals from land use and land-use conversions. The land uses may be considered as top-level
categories for representing all land-use areas, with sub-categories describing special circumstances significant to
emissions estimation, and where data are available. The categories are broad enough to classify all land areas in
most countries and to accommodate differences in national land-use classification systems, and may be readily
stratified (e.g., by climate or ecological zones). The categories (and sub-categories) are intended to be identified
through use of Approaches for representing land-use area data described in subsequent sections.

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The definitions of land-use categories may incorporate land cover type, land use based, or a combination of the
two. Care needs to be taken in inferring land use from the land cover characteristics and vice versa. For example,
in some countries, significant areas of the Forest land category may be grazed, and firewood may be collected
from scattered trees in the Grassland category. These areas with different use may be significant enough for
countries to consider them separately as additional sub-categories. Countries should ensure that land is not
accounted for in more than one category or sub-category, in order to avoid double-counting of land areas.

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For convenience, the categories are referred to as land-use categories. These particular categories have been
selected because they are:

robust as a basis for emissions and removals estimation;

implementable; and

complete, in that all land areas in a country may be classified by these categories without duplication

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Countries will use their own definitions of these categories, which may or may not refer to internationally
accepted definitions, such as those by FAO, Ramsar 1 , etc. Only broad and non-prescriptive definitions are
provided for the land-use categories and of managed and unmanaged lands. Countries should describe and apply
definitions consistently for the national land area over time.

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Countries should describe the methods and definitions used to determine areas of managed and unmanaged lands.
Managed land is land where human interventions and practices have been applied to perform production,
ecological or social functions. All land definitions and classifications should be specified at the national level,
described in a transparent manner, and be applied consistently over time. Emissions/removals of greenhouse
gases do not need to be reported for unmanaged land. However, it is good practice for countries to quantify, and
track over time, the area of unmanaged land so that consistency in area accounting is maintained as land-use
change occurs.

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As the resolution of the national land use, mapping may be more coarse than the definitions used to describe the
land-use categories (e.g., if the forest definition applied by a country includes a minimum area, of say one
hectare for example, yet the available land-use mapping minimum unit size is five hectares) it is possible that
there will be small (unidentified) areas of one land-use category reported under another. These small areas may
be reported under the mapped land use when they remain in the same category. If they are converted to another
land-use category (e.g., a small area of Forest land converted to another use is identified within an area
previously mapped as Cropland) and this is identified (e.g., by a permit application for the activity) then they
should be reported under the appropriate land-use conversion (i.e., Forest land converted to another specified
land use) and subtracted from the original (previously misclassified) land-use (remaining) area.

26

The land-use categories for greenhouse gas inventory reporting are:

27

(i) Forest land

28
29
30
31

This category includes all land with woody vegetation consistent with thresholds used to define Forest land in
the national greenhouse gas inventory. It also includes systems with a vegetation structure that currently fall
below, but in situ could potentially, reach the threshold values used by a country to define the Forest land
category.

32

(ii) Cropland

33
34

This category includes cropped land, including rice fields, and agro-forestry systems where the vegetation
structure falls below the thresholds used for the Forest land category.

35

(iii) Grassland

36
37
38
39

This category includes rangelands and pasture land that are not considered Cropland. It also includes systems
with woody vegetation and other non-grass vegetation such as herbs and brushes that fall below the threshold
values used in the Forest land category. The category also includes all grassland from wild lands to recreational
areas as well as agricultural and silvi-pastural systems, consistent with national definitions.

40

(iv) Wetlands

41
42
43

This category includes areas of peat extraction and land that is covered or saturated by water for all or part of the
year (e.g., peatland) and that does not fall into the Forest land, Cropland, Grassland or Settlements categories. It
includes reservoirs as a managed sub-division and natural rivers and lakes as unmanaged sub-divisions.

44

(v) Settlements

45
46

This category includes all developed land, including transportation infrastructure and human settlements of any
size, unless they are already included under other categories. This should be consistent with national definitions.

47

(vi) Other land

Refers to Ramsar Convention on Wetlands. The Convention on Wetlands, signed in Ramsar, Iran, in 1971, is an
intergovernmental treaty which provides the framework for national action and international cooperation for the
conservation and wise use of wetlands and their resources.

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This category includes bare soil, rock, ice, and all land areas that do not fall into any of the other five categories.
It allows the total of identified land areas to match the national area, where data are available. If data are
available, countries are encouraged to classify unmanaged lands by the above land-use categories (e.g., into
Unmanaged Forests, Unmanaged Grasslands, and Unmanaged Wetlands). This will improve transparency and
enhance the ability to track land-use conversions from specific types of unmanaged lands into the categories
above.

LAND-USE CONVERSIONS

8
9
10
11

Full application of the guidance requires estimation of land-use conversions that take place between data
collection intervals, particularly when different carbon stock estimates and different emission and removal
factors are associated with lands before and after a transition. Applicable land uses and land-use conversions are
shown below:

12

FF

Forest land remaining Forest land LF

lands converted to Forest land

13

GG

Grassland remaining Grassland

LG

lands converted to Grassland

14

CC

Cropland remaining Cropland

LC

lands converted to Cropland

15

WW

Wetlands remaining Wetlands

LW

lands converted to Wetlands

16

SS

Settlements remaining Settlements LS

lands converted to Settlements

17

OO

Other land remaining Other land

lands converted to Other land

LO

18
19
20
21
22
23
24
25

Where detailed data about the origin of land converted to a category are available (which will depend on the
Approach available to a country to represent land-use areas), countries can specify the land-use conversion. For
example, LC can be sub-divided into Forest land converted to Cropland (FC) and Grassland converted to
Cropland (GC). While both land areas end up in the Cropland category, the differences in their emissions and
removals of greenhouse gases due to their origin should be represented and reported wherever possible. When
applying these land-use category conversions, countries should classify land under only one (end land use)
category to prevent double counting. The reporting category is therefore the end-use category, not the category
of origin prior to the land-use conversion.

26
27
28
29
30
31

If a country's national land-use classification system does not match categories (i) to (vi) as described above, the
land-use classifications should be combined or disaggregated in order to represent the categories presented here.
Countries should report on the procedure adopted for the reallocation. The national definitions for all categories
used in the inventory and any threshold or parameter values used in the definitions should be specified. Where
national land classification systems are being changed or developed for the first time, compatibility with landuse classes (i) to (vi) above should be sought.

32
33
34
35
36
37
38
39

The broad land-use categories listed above may be further stratified (as described in Section 3.3.2) by climate or
ecological zone, soil and vegetation type etc. as necessary to match land areas with the methods for assessing
carbon stock changes and greenhouse gas emissions and removals described in Chapters 2 and 4-9 of this
Volume. Default climate and soil classification schemes are provided in Annex 3A.5. Examples of stratifications
that are used for Tier 1 emissions and removals estimation are summarized in Table 3.1. Specific stratification
systems vary by land use and carbon pools and are used in the estimation methods later in this Volume.
Guidance on stratifying land-use areas to match data needs for estimating emissions and removals is provided in
Section 3.3.2 of this chapter.

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1
TABLE 3.1
EXAMPLE STRATIFICATIONS WITH SUPPORTING DATA FOR TIER 1 EMISSIONS ESTIMATION
METHODS
FACTOR
CLIMATE
(see Annex 3A.5)

SOIL
(see Annex 3A.5)

BIOMASS (ECOLOGICAL
ZONE)
(see Figure 4.1, in Chapter 4
Forest land)

MANAGEMENT
PRACTICES (more than one
may be applied to any land
area)

STRATA
Boreal
Cold temperate dry
Cold temperate wet
Warm temperate dry
Warm temperate moist
Tropical dry
Tropical moist
Tropical wet
High activity clay
Low activity clay
Sandy
Spodic
Volcanic
Wetland
Organic
Tropical rainforest
Tropical moist deciduous forest
Tropical dry forest
Tropical shrubland
Tropical desert
Tropical mountain systems
Subtropical humid forest
Subtropical dry forest
Subtropical steppe
Subtropical desert
Subtropical mountain systems
Temperate oceanic forest
Temperate continental forest
Temperate steppe
Temperate desert
Temperate mountain systems
Boreal coniferous forest
Boreal tundra woodland
Boreal mountain systems
Polar
Intensive tillage/Reduced till/No-till
Long term cultivated
Perennial tree crop
Liming
High/Low/Medium Input Cropping Systems
Improved Grassland
Unimproved Grassland

2
3

3.3 REPRESENTING LAND-USE AREAS

4
5
6
7
8
9

This section describes three Approaches that may be used to represent areas of land use using the categories
defined in the previous section. They are presented below in order of increasing information content. Approach 1
identifies the total change in area for each individual land-use category within a country, but does not provide
information on the nature and area of conversions between land uses. Approach 2 introduces tracking of land-use
conversions between categories (but is not spatially explicit). Approach 3 extends Approach 2 by allowing landuse conversions to be tracked on a spatially explicit basis.

10
11
12
13

The Approaches are not presented as hierarchical tiers and do not imply any increase or decrease in accuracy but
reflect collection methods and attributes and, therefore, appropriate ways to use the data. Accuracy is affected as
much or more by the quality of application of the Approach as by the Approach itself. The Approaches are not
mutually exclusive, and the mix of Approaches selected by a country should reflect emissions estimation needs

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and national circumstances. One Approach may be applied uniformly to all areas and land-use categories within
a country, or different Approaches may be applied to different regions or categories or in different time intervals.
In all cases, countries should characterize and account for all relevant land areas in a country consistently and as
transparently as possible.

5
6
7
8
9
10
11
12

All data should reflect the historical trends in land-use area, as needed for the inventory methods described in
Chapters 2 and 4-9 of this Volume. The commencement time for the historical data required is based on the
amount of time needed for dead organic matter and soil carbon stocks to reach equilibrium following land-use
conversion (20 years is recommended as a default, but can be longer, e.g., for temperate and boreal systems).
After the period to reach equilibrium has passed, land that was added to a land-use conversion category needs to
be transferred to land remaining in a land-use category. The time-series data on land-use conversion is
therefore also used to determine the annual transfer of area from the category land converted to category to
land remaining in a land-use category.

13

TIME-SERIES

14
15
16
17
18
19
20

It is fundamental to the preparation of an annual inventory that data on land-use area are known at least two
points in time relevant to the inventory year. If these data are of Approach 1 (identifying only the net national
change in area of each land-use category, but not the transfers between them) the historical (not immediately
prior) land use may still not be known. In such circumstances countries should wherever possible infer the
previous land use (see Section 3.3.2.2 below). The alternative assumption that the land has remained in the landuse category for all time prior to the land-use conversion is likely to underestimate removals where conversions
to land uses with higher carbon contents predominate, or underestimate emissions in the opposite case.

21
22
23
24
25

It is important that there is a consistent time-series in the preparation of land-use category and conversion data so
that artifact from method change is not included as an actual land-use conversion. Care should also be taken to
ensure that the areas of managed and unmanaged land are both defined and estimated consistently. The following
section details how to deal with changes in managed land areas (and consequent changes in carbon stock) when
using stock change methods for emissions estimation.

26

CONSISTENT USE OF LAND AREA IN CARBON STOCK ESTIMATES

27
28
29
30
31
32
33
34

Over the time-series of a national inventory, it is likely that the total area of managed lands will increase as
unmanaged lands are converted to managed land. In this case, where the land area is used to estimate the carbon
stock (when using a stock-difference method of emissions estimation), it is possible that the entry of additional
land into the inventory (by changing from an unmanaged to managed status) will incorrectly appear as a carbon
stock increase. This could wrongly be inferred as a removal from the atmosphere, whereas in reality it is only an
increase due to the expanded land-use area over the inventory time-series. To separate carbon stock increases
arising from changes in area from true carbon stock changes, carbon stock estimates should be recalculated for
the complete inventory time-series area whenever the total area of managed land changes in an annual inventory.

35
36
37
38
39
40

The maximum area of land (and associated carbon stock) at any point in the time-series should be used as the
basis for emissions and removals estimation throughout the inventory time-series. Carbon stocks on unmanaged
lands can be assumed to remain constant (thus, carbon stock changes would be zero) until the year in which land
is classified as a managed use. The recalculation will therefore change the initial carbon stock estimate in the
year the land entered the inventory, but will not affect the estimation of carbon stock change over the inventory
time-series until the relevant land becomes managed.

41

DATA AVAILABILITY

42
43
44
45
46
47

For many countries, implementing these inventory guidelines may require new data collection. Annex 3A.3
provides general guidance on sampling techniques and Annex 3A.4 on spatially explicit (Approach 3) datasets.
Where the data needed to apply these inventory guidelines on land use are not available nationally, data on land
categories may be derived from global datasets (examples are provided in Annex 3A.1, but generally report on
the basis of land cover only, and not land use). It is preferable that data used should be capable of producing
input to uncertainty calculations.

48

When using land-use data, inventory compilers should:

49
50
51
52
53
54
55

Harmonize definitions between the existing independent databases and also with the land-use categories to
minimize gaps and overlaps. For example, overlaps might occur if woodland on farms were included both in
forestry and agricultural datasets. In order to harmonize data, the woodland should be counted only once for
greenhouse gas inventory purposes, taking into account the forest definition adopted nationally. Information
on possible overlaps for the purposes of harmonization should be available from agencies responsible for
surveys. Harmonization of definitions does not mean that agencies should abandon definitions that are of
use to them but should establish the relationship between definitions in use with the aim of eliminating

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double counting and omissions. This should be done throughout the dataset to maintain time-series
consistency.

3
4
5

Ensure that the land-use categories used can identify all relevant activities. For example, if a country needs
to track a managed land-use category such as Forest land, then the classification system must distinguish
managed from unmanaged Forest lands.

6
7

Ensure that data acquisition methods are reliable, well documented methodologically, timely, at an
appropriate scale, and from reliable sources.

8
9
10
11

Ensure the consistent application of category definitions between time periods. For example, countries
should check whether the definition of forest has changed over time in terms of tree crown cover and other
parameters. If changes are identified, use the corrected data for recalculation consistently throughout the
time-series, and report on actions taken. Guidance on recalculation can be found in Volume 1 Chapter 5.

12
13

Prepare uncertainty estimates for those land-use areas and conversions in area that will be used in the
estimation of carbon stock changes, greenhouse gas emissions and removals.

14
15
16

Ensure that the national land area is consistent across the inventory time-series; otherwise stock changes will
reflect false C increases or decreases due to a change in total land area accounted for when using a stock
change emissions estimation method.

17
18
19
20
21
22
23
24
25
26
27

Assess whether the sum of the areas in the land classification databases is consistent with the total national
area, given the level of data uncertainty. If coverage is complete, then the net sum of all the changes in land
area between two time periods should be zero to within the uncertainties involved. In cases where coverage
is incomplete, the difference between the area covered and the national area should, in general, be stable or
vary slowly with time, again to within the uncertainties expected in the data. If the balancing term varies
rapidly, or (in the case of complete coverage) sums are not equal, inventory compilers should investigate,
explain, and make any corrections necessary. These checks on the total area should take into account the
uncertainties in the annual or periodic surveys or censuses involved. Information on uncertainties should be
obtained from the agencies responsible for the surveys. Remaining differences between the sum of areas
accounted for by the available data and the national area should be within the expected uncertainty for area
estimation.

28
29
30

For some activities reported, such as the application of nitrogen fertilizer, liming and harvested wood products,
only national aggregate data may be available. Where emissions and removals estimation methods are applied at
a national level, it is appropriate to use such data without categorization by land use.

31

3.3.1 Three Approaches

32

A PPROACH 1: T OTAL L AND - USE A REA ,

33

BETWEEN LAND USES

NO DATA ON CONVERSIONS

34
35
36
37
38
39
40
41
42

Approach 1 represents land-use area totals within a defined spatial unit, which is often defined by political
boundaries, such as a country, province or municipality. Another characteristic of Approach 1 data is that only
the net changes in land-use area can be tracked through time. Consequently, the exact location or pattern of the
land uses is not known within the spatial unit, and moreover the exact changes in land-use categories cannot be
ascertained. Datasets are likely to have been prepared for other purposes, such as forestry or agricultural
statistics. Frequently, several datasets will be combined to cover all national land classifications and regions of a
country. In this case the absence of a unified data system can potentially lead to double counting or omission,
since the agencies involved may use different definitions of specific land use for assembling their databases.
Ways to deal with this are suggested below.

43
44
45
46

Tables 3.2 and 3.3 show summary land-use area data for a hypothetical country (with a national land area of 140
million ha) using locally relevant land classifications. Table 3.2 is prepared at the level of the broad land-use
categories. Table 3.3 depicts the same information with example stratifications to estimate the effect of various
activities using the emissions estimation methods described elsewhere in this Volume.

47
48
49
50

Determination of the area of land-use conversion in each category is based on the difference in area at two points
in time, either with partial or full land area coverage. No specification of inter-category conversions (i.e., land
remaining in a land-use category and land converted to a new land-use category) is possible under Approach
1 unless supplementary data are available (which would then introduce a mix with Approach 2).

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The land-use area data may come originally from periodic sample survey data, maps or censuses (such as
landowner surveys), but will probably not be spatially explicit. The sum of all land-use category areas may or
may not equal the total area of the country or region under consideration, and the net result of land-use
conversions may or may not equal zero, depending on the consistency in data collection and application in the
inventories for each land-use category. The final result of this Approach is a table of land use at given points in
time. Because the total land base that is reported each year for all land-use categories should remain constant, a
table similar to Table 3.3 should be generated as a QA/QC measure. If inconsistencies are found, it is good
practice to identify and correct the problem(s) for future inventories. This may require closer coordination
among inventory teams for separate land-use categories (if analyzed separately) or possibly new surveys or other
types of data collection.

11
12
13
14
15
16
17
18
19

Other parts of this Volume require information on land area in each land-use category presented in Table 3.3 to
be broken down into the categories land remaining in the same land-use category and land converted to a new
land-use category. This is dependent on methodological requirements in other chapters of this Volume. If landuse data are not sufficient to support Approach 2 (see below), where the total (gross) land conversion areas can
be quantified, the emissions and removals may be reported in the land remaining in the same land-use category
(as specified in Table 3.2). This is because the data may only be sufficient to identify the net change in area of
each land-use category, and not the total effect of all land conversions. However, in general the methods for both
soils and biomass related emissions estimation require land area data categorized by lands remaining and
converted to categories and thus it is desirable to do this if possible, even if this is done using expert judgment.

20
21
22
23
24

Note that by reporting only in the land remaining category, emissions and removals will include, but not
explicitly reflect a changing land base within a land-use category (different areas, e.g., by the net transition in
areas to and from the Forest land category) over time. This may overestimate or underestimate emissions for that
particular land remaining category. However, a complete inventory will tend to counter-balance this with
emissions and removals from another land remaining category in the inventory.

25
26
27

It is acceptable to report non-CO2 emission by source category without attribution to land uses if emissions are
estimated based on national statistics, without reference to individual land uses (e.g., N2O emissions from soils).
Methods outlined in this Volume frequently estimate emissions using national statistics in this manner.

28
EXAMPLE OF APPROACH 1: AVAILABLE
Time 1
F

TABLE 3.2
LAND USE DATA WITH COMPLETE NATIONAL COVERAGE
Net Land-use Conversion
between Time 1 and Time 2

Time 2
=

18

19

Forest land

+1

84

82

Grassland

-2

31

29

Cropland

-2

Wetlands

Settlements

+3

Other land

Sum

140

Sum

140

Sum

Note: F = Forest land, G = Grassland, C = Cropland, W = Wetlands, S = Settlements, O = Other land. Numbers represent area units (Mha in
this example).

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ILLUSTRATIVE EXAMPLE OF
Land-use
category/strata
Forest land total
Forest land
(Unmanaged)
Forest land
(temperate
continental
forest)
(converted to
another land-use
category)

TABLE 3.3
STRATIFICATION OF DATA FOR APPROACH 1

Initial land area


(million ha)

Final land area


(million ha)

Net Change in area


(million ha)

18

19

Not included in the


inventory estimates

(Estimates should be
prepared on the 8
million ha)
No land-use
conversion. Could
require stratification
for different
management regimes
etc.

Forest land
(boreal
coniferous)

Grassland total

84

82

-2

Grassland
(Unimproved)

65

63

-2

Grassland
(Improved)

19

19

Cropland total

31

29

-2

Wetlands total
Settlements total

0
5

0
8

0
3

Other land total

140

140

TOTAL

Status

Fall in area indicates


land-use conversion.
Could require
stratification for
different management
regimes etc.
No land-use
conversion. Could
require stratification
for different
management regimes
etc.
Fall in area indicates
land-use conversion.
Could require
stratification for
different management
regimes etc.

Unmanaged - not in
inventory estimates
Note: areas should
reconcile

Note: Initial is the category at a time previous to the date for which the assessment is made and Final is the category at the date of
assessment. Activities for which location data are not available should be identified by further sub-categorisation of an appropriate land
category.

1
2

A PPROACH 2: T OTAL L AND - USE A REA ,

3
4
5
6
7
8
9
10
11
12

INCLUDING CHANGES

BETWEEN CATEGORIES
The essential feature of Approach 2 is that it provides an assessment of both the net losses or gains in the area of
specific land-use categories and what these conversions represent (i.e., changes both from and to a category).
Thus, Approach 2 differs from Approach 1 in that it includes information on conversions between categories, but
is still only tracking those changes without spatially-explicit location data, often based on political boundaries
(i.e., locations of specific land use and land-use conversions are not known). Tracking land-use conversions in
this manner will normally require estimation of initial and final land-use categories for all conversion types, as
well as of total area of unchanged land by category. The final result of this Approach can be presented as a nonspatially-explicit land-use conversion matrix. The matrix form is a compact format for representing the areas that
have come under different conversions between all possible land-use categories. Existing land-use databases

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may have sufficient detail for this Approach, or it may be necessary to obtain data through sampling or other
methods. The input data may or may not have originally been spatially-explicit (i.e., mapped or otherwise
geographically referenced).

4
5
6
7

For Approach 2, emission and removal factors can be chosen to reflect differences in the rate of changes in
carbon according to the conversions between any two categories, and differences in initial carbon stocks
associated with different land uses can be taken into account. For example, the rate of soil organic carbon loss
will commonly be much higher from cropping than from pasture.

8
9
10
11
12
13
14

Approach 2 is illustrated in Table 3.4 using the data from the Approach 1 example (Table 3.3) by adding
information on all the conversions taking place. Such data can be written in the more compact form of a matrix
and this is presented in Table 3.5. To illustrate the added value of Approach 2 and this land-use conversion
matrix format, the data of Table 3.5 is given in Table 3.6 without the stratification of the land-use categories.
This can be compared with the more limited information from Approach 1 in Table 3.2. In Table 3.6, the
conversions into and out of land categories can be tracked, whereas in Table 3.2 only the net changes in a broad
land-use category are detectable.

15
16
17
18
19
20
21

In Tables 3.5 and 3.6, the area in the diagonal cells represents the area in each land-use category that was not
affected by land-use conversion in this inventory year. In preparation for the greenhouse gas emission and
removal estimations described elsewhere in this Volume, this area should be further sub-divided into the area
that has remained in the land-use category and area that has been affected by a land-use conversion (i.e., the land
converted to a different land-use category) in the previous Y years (where Y is the time period during which C
pools are expected to reach equilibrium (the IPCC default is 20 years, based on soil C pools typical time to
equilibrium after land-use conversion).

22
23
24
25
26
27
28

Therefore, under the default assumption in every inventory year, the area converted to a land-use category
should be added to the category land converted to and the same area removed from the land remaining in the
land-use category. The area of land that entered that land converted to category, 21 years ago (if using the
default 20 year period), should be removed and added to the category land remaining land. For example, in
Table 3.5, if data indicated that four of the 56 Mha in the Grassland category had been converted from Forest
land 21 years ago, then four Mha of land should be moved from the category land converted to Grassland to
the category land remaining Grassland in this annual inventory.

29

A PPROACH 3: S PATIALLY - EXPLICIT L AND - USE C ONVERSION D ATA

30
31
32
33
34

Approach 3 is characterized by spatially-explicit observations of land-use categories and land-use conversions,


often tracking patterns at specific point locations and/or using gridded map products, such as derived from
remote sensing imagery. The data may be obtained by various sampling, wall-to-wall mapping techniques, or
combination of the two methods. An overview of potential methods for developing Approach 3 datasets is
provided in Annex 3A.4.

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40
41

Approach 3 data can be summarized in tables similar to Tables 3.5 and 3.6. The main advantage of spatiallyexplicit data is that analysis tools such as Geographic Information Systems can be used to link multiple spatiallyexplicit data sets (such as those used for stratification) and describe in detail the conditions on a particular piece
of land prior to and after a land-use conversion. This analytical capacity can improve emissions estimates by
better aligning land-use categories (and conversions) with strata mapped for classification of carbon stocks and
emission factors by soil type, vegetation type. This may be particularly applicable for Tier 3 emission estimation
methodologies. However, issues of compatible and comparable spatial resolutions need to be taken into account.

42

3.3.2 Using the Data

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44
45
46
47
48

Figure 3.1 is a decision tree to assist in describing and/or obtaining the data on land-use areas. All three
Approaches can, if implemented appropriately and consistently, be used to produce robust greenhouse gas
emission and removal estimates. However, it should be noted that Approach 1 will probably not detect changes
in biomass, such as those due to the full extent of deforestation and reforestation on separate areas of land, but
only those due to the net conversion of land-use area from a forest to a non-forest use. In general, only Approach
3 will allow for the spatial representation required as an input to spatially-based carbon models.

49
50
51

Different Approaches may be more effective over different time periods, or may be required for different
reporting purposes. Methods to carry out matching of the time-series between the different periods or uses
should be applied.

52

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TABLE 3.4
ILLUSTRATIVE EXAMPLE OF TABULATING ALL LAND-USE CONVERSION FOR APPROACH 2
INCLUDING NATIONALLY DEFINED STRATA
Initial Land Use

Final Land Use

Land Area, Mha

Inclusions/Exclusions

Forest land (Unmanaged)

Forest land (Unmanaged)

Excluded from GHG inventory

Forest land (Managed,


temperate continental)

Forest land (Managed,


temperate continental)

Included in GHG inventory

Forest land (Managed,


temperate continental)

Grassland (Unimproved)

Included in GHG inventory

Forest land (Managed,


temperate continental)

Settlements

Included in GHG inventory

Forest land (Managed, boreal


coniferous)

Forest land (Managed, boreal


coniferous)

Included in GHG inventory

Grassland (Unimproved)

Grassland (Unimproved)

61

Included in GHG inventory

Grassland (Unimproved)

Grassland (Improved)
Forest land (Managed,
temperate continental)
Settlements

Included in GHG inventory

Included in GHG inventory

Included in GHG inventory

Grassland (Improved)

Grassland (Improved)

17

Included in GHG inventory

Grassland (Improved)

Forest land (Managed,


temperate continental)

Included in GHG inventory

29

Included in GHG inventory

Included in GHG inventory

Cropland

Cropland
Forest land (Managed,
temperate continental)
Settlements

Included in GHG inventory

Wetlands

Wetlands

Included in GHG inventory

Settlements

Settlements

Included in GHG inventory

Other land

Other land

Excluded from GHG inventory

Grassland (Unimproved)
Grassland (Unimproved)

Cropland
Cropland

TOTAL

140

Note: Data are a stratified version of those in Table 3.3. Sub-categories are nationally defined and are illustrative only. Initial indicates
the category at a time previous to the date for which the assessment is made and Final the category at the date of assessment.

3.14

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Chapter 3: Consistent Representation of Lands

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1
TABLE 3.5
ILLUSTRATIVE EXAMPLE OF APPROACH 2 DATA IN A LAND-USE CONVERSION MATRIX WITH CATEGORY STRATIFICATION

Final

Forest land Forest land


Initial Forest land (Managed, (Managed,
Grassland
Grassland
Other
Cropland Wetlands Settlements
(Unmanaged) temperate
boreal
(Unimproved) (Improved)
land
continental) coniferous)

Forest land
(Unmanaged)

Forest land
(Managed,
temperate
continental)

Forest Land
(Managed,
boreal
coniferous)

Grassland
(Unimproved)

61

Grassland
(Improved)

63

17

19
29

Cropland

29
0

Wetlands
1

Settlements

0
5

Other land
Initial area

NET change

Final
area

7
1

6
0

8
2

65

19

31

140

-2

-2

+3

Note: Column and row totals show net conversion of land use as presented in Table 3.3. Initial indicates the category at a time previous to the date for which the
assessment is made and Final the category at the date of assessment. Net changes (bottom row) are the final area minus the initial area for each of the
(conversion) categories shown at the head of the corresponding column. Blank entry indicates no land-use conversion for this transition.

2
TABLE 3.6
SIMPLIFIED LAND-USE CONVERSION MATRIX FOR EXAMPLE APPROACH 2
NET Land-use Conversion Matrix
Initial
F
G
C
W
S
O
Final sum
Final
3
1
F
15
19
G

80

82
29

29
0

W
1

0
5

O
Initial sum

18

84

31

Note:
F = Forest land, G = Grassland,
C = Cropland,
S = Settlements, O = Other land
Numbers represent area units (Mha in this example).

8
2

140

W = Wetlands,

Draft 2006 IPCC Guidelines for National Greenhouse Gas Inventories

3.15

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1

3.3.2.1 S TRATIFICATION

OF

L AND - USE D ATA

2
3
4
5
6
7
8
9
10
11

Once land use and land-use conversion areas have been established, it is necessary to consider the capacity and
need for further stratification. This may be needed to locate relevant data from subsequent chapters for emissions
factors, carbon stocks etc. Table 3.1 shows the typical stratifications for which data are available for the
application of Tier 1 emissions and removals estimation. Throughout the default tables used to populate
equations to calculate a Tier 1 inventory, specific data cells are highlighted that represented the pre-defined
stratifications applied to Tier 1 inventories. That is, Tier 1 default data (tables) conform to a consistent
stratification so that there is no further calculation or ambiguity in the appropriate selection of default data to
populate equations. Where countries are preparing Tier 2 and 3 inventories, it is likely that stratification schemes
may differ based on country-specific information and selection, manipulation or supplementation of default data
may be required.

12
13
14
15
16
17
18

Unless all land-use area and stratification data are spatially-explicit (Approach 3), the development of rules for
allocations to strata may be required. For example, Approach 1 land-use data are stratified by climate and soil
type to estimate soil C stock changes. Optimally, the land-use data can be down-scaled to capture the proportion
of land uses in each climate or soil type, with ancillary information and expert knowledge. If re-scaling is not
possible, inventory estimation can still proceed, but the emissions and removals estimates should reflect
uncertainties in the assignment of emission/stock change factors (and associated parameters) that vary by climate
and/or soil.

19
20
21
22
23
24

Management data may only be available in an Approach 1 format (e.g., expert knowledge or periodic surveys of
different sets of land owners) even if Approach 2 or 3 data are available for land-use categories. In this case,
management can be summarized as a proportion of the management practice (e.g., % no till, intensive tillage and
reduced tillage) in each lands remaining and lands converted land-use category. This will be a limiting
assumption if the management classes are not evenly distributed as the impact of management on the emission or
removal depends on land-use category.

25
26
27
28
29
30
31

Tier 2 and 3 methods may also evaluate interactions between management practices that affect emission/stock
change factors. Determining the appropriate combinations of management is another issue that needs careful
consideration. Tier 1 methods typically do not address the temporal trends in emissions/stock change factors
(assuming a linear change) or capture interactions among management practices on a specific land use, but rather
represent an average effect. Consequently, assignment of emission/stock change factors may become more
complicated with higher Tier methods and require careful explanation of the scaling processes that were used to
delineate the appropriate combinations of the climate, soil, ecological zones, and/or management systems.

32

3.16

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Chapter 3: Consistent Representation of Lands

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Figure 3.1

Decision tree for preparation of land-use area data

2
3
4

Identify a primary existing


land use dataset for the
country (e.g., FAO data)

5
6
7

Are
spatially explicit
data available, if
needed?

Are
spatially
explicit data
needed for some
or any land
areas?

No

Yes

Are
spatial data for
a geographically
mixed Approach (1,
2, & 3)
available?

Does
the dataset have
any underlying
spatial
information?

No

9
10

Yes

Yes

Yes

Primary dataset
acceptable for use

Modify primary
dataset to use
mixed Approaches
(1, 2, & 3), if
needed

Obtain and use the


additional spatial
information

Does
the (modified)
primary dataset
cover the whole
country?

No

Can
the gaps in the
area coverage be
filled using other
existing data
sets?

No

Yes
(Modified) Primary
dataset acceptable
for coverage

Does
the (modified)
primary dataset provide a
complete time-series for
the country?

Yes
Document the choice
of methods
(Approaches)

No

Can
new data be
collected to fill the
gaps in area
coverage?

No

Yes

Yes

Combine primary
and secondary
datasets

Collect new data


for the gaps in
area coverage

Can data
for missing years
be supplemented with
existing secondary
data sets?

No

Can
new data be collected
to complete the timeseries?

Yes

Yes

Use a mix of
Approaches to
build a complete
time-series

Collect new data


for the gaps in the
time-series using
guidance in this
chapter

Draft 2006 IPCC Guidelines for National Greenhouse Gas Inventories

No
Collect spatial
information where
required

No

Use international
datasets to
minimize gaps in
coverage and
document results

No

Use techniques for


interpolation and
extrapolation to
estimate fluxes for
missing years

3.17

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3.3.2.2 P REPARING A REA D ATA


E STIMATION

3
4
5
6
7
8

Preparing a greenhouse gas inventory for AFOLU requires the integration of land-use area with data of land
management and biomass, dead organic matter and soil carbon stock pools, in order to estimate carbon stock
changes and CO2 and non-CO2 emissions and removals associated with land use. Depending on the type of data
available (Approach 1, 2 or 3), there are implications for the subsequent use of the data in the preparation of
estimates of emissions and removals according to the land-use conversion framework represented in the
reporting tables.

9
10
11
12
13
14
15
16
17
18
19
20

Countries that only have access to Approach 1 data have two options for reporting land-use category conversions.
Total areas for categories of land remaining in a land use may include some portion of land that was converted
to that land use since the last inventory. Countries should wherever possible apportion change in land-use areas
over time to inferred land-use conversion categories for the purposes of determining appropriate carbon stock
and emission factor estimates. For example, a country with 1 Mha of forest, 1,000 ha deforestation and 1,000 ha
afforestation has a zero net change in Forest land area (presuming these changes occurred on managed land), but
will have a reduction in forest biomass C stocks, at least until sufficient regrowth occurs. Subsequent decisions
will be needed to relate these inferred area conversions between land-use categories to appropriate land
management, biomass and soil C stocks and emission factors. Where this is done, countries should report the
basis for these decisions, and any methods of verification or cross-checking of estimates that have been applied,
and the effects on inventory uncertainty. If this apportioning is not done, then countries should state this, and
report the effect on uncertainties associated with doing so.

21
22
23
24
25
26

For countries with Approach 2 data, where information on the areas of each land-use conversion is known, but is
not spatially-explicit, these area estimates still need to be linked to appropriate initial carbon stocks, emissions
factors, etc. In some cases, this may require the assignment of the land-use conversion data to climate, and/or
vegetation type, soil and management strata. Again, this can be done by some form of sampling, scaling or
expert judgement. Countries should report the basis for these decisions, and any methods of verification or crosschecking of estimates that have been applied.

27
28
29
30
31

For countries using Approach 3 data, it is possible to apportion areas of land-use conversion by spatially
intersecting the data with other spatial datasets, such as those on climate, and/or vegetation type, soil and
management strata. However, it is likely that inference, for example, based on survey data and expert judgement,
will be needed to apportion the land-use conversion and biophysical data by management practices as data on
management practices are rarely available in spatially explicit formats.

32

34

3.4 MATCHING LAND AREAS WITH FACTORS FOR


ESTIMATING GREENHOUSE GAS EMISSIONS
AND REMOVALS

35
36
37
38
39

This section provides brief guidance on matching the land-use area data with carbon stocks, emissions factors
and other relevant data (e.g., forest biomass stocks, average annual net increment) to estimate greenhouse gas
emissions and removals. An initial step in preparing national inventory estimates is to assemble the required
activity data (i.e., land-use areas) and match them with appropriate carbon stock, emissions and removal factors
and other relevant data.

40
41
42
43
44

This Volume provides default data (specifically marked) needed to make Tier 1 estimates for all AFOLU
categories according to specified climate and ecological zone stratifications. In addition, countries may develop
country-specific carbon stock, emission and removal factors and other relevant data (Tiers 2 and 3 inventory
methods). The following summarizes the principles to be followed when matching activity data with carbon
stock, emission and removal factors and other relevant data:

45

match national land-use area classifications to as many land-use categories as possible;

46
47

when national land-use classifications do not conform to the land-use categories of these guidelines,
document the relationship between classification systems;

48
49

use classifications consistently through time and, when necessary, document any modifications made to
classification system;

50
51

document definitions of land categories, land-use area estimates, and how they correspond to emission and
removal factors; and,

33

3.18

FOR

E MISSIONS

AND

R EMOVALS

Draft 2006 IPCC Guidelines for National Greenhouse Gas Inventories

Chapter 3: Consistent Representation of Lands

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1
2

Following are the recommended steps for matching land areas with emission and removal factors:

4
5
6
7
8

1.

Start with the most disaggregated land-use area stratification as well as the most detailed available emission
and removal factors needed to make an estimate. For example, the Forest land methodologies, described in
Chapter 4 of this Volume, provide a default factor for above-ground biomass stocks in forest plantations that
is disaggregated at the most detailed stratification, relative to other factors (i.e., forest type, region, species
group, age class, and climate). These strata would be used as an initial base stratification.

2.

Include only those strata applicable in your country and use this as a base stratification.

10
11
12

3.

Match land-use area estimates to the base stratification at the most disaggregated level possible. Countries
may need to use expert judgment to align the best available land-use area estimates with the base
stratification.

13
14
15
16
17

4.

Map emission and removal factors onto the base stratification by matching them as closely as possible to the
stratification categories. Note that many of the default stock change and emissions factors and other
parameters in Tier 1 (default) equations were statistically derived for specifically defined strata (e.g. climate
type, soil type) so that countries wishing to use Tier 1 methods for these emissions and removals should
stratify land-use categories using the definitions as specified for Tier 1 change factors and parameters.

18
19
20
21
22
23

If a national land-use classification is fitted to the land-use categories (and sub-categories) this facilitates
matching of emission and removal factors that follow the same classification. For example, default soil carbon
factors for Forest land, Cropland, and Grassland are disaggregated by the same climate regions (see Annex 3A.5).
Therefore, the same land area classification can be used to estimate soil carbon changes in each of the land-use
categories, enabling consistent tracking of lands and carbon fluxes on lands resulting from land-use category
conversions.

24
25
26
27
28
29

Countries may find that national land classifications change over time as national circumstances change and
more detailed activity data and emission/removal factors become available. In some cases, the stratification will
be elaborated with the addition of more detailed emission and removal factors. In other cases, new stratifications
systems will be established when countries implement new forest inventories or remote sensing sampling
designs. When changes to the stratification system occur, countries should recalculate the entire time-series of
estimates using the new stratification if possible.

30
31

3.5 UNCERTAINTIES ASSOCIATED WITH THE


APPROACHES

32
33
34
35
36
37

Uncertainties should be quantified and reduced as far as practicable. Land-use area uncertainty estimates are
required as an input to overall uncertainty analysis. Although the uncertainty associated with the Approaches (1
to 3) obviously depends on how well they are implemented, it is possible to give an indication of what can be
achieved in practice. Table 3.7 sets out the sources of uncertainty (not the significance) for different Approaches.
This provides a guide to sources of uncertainties, indicative levels of uncertainty under certain conditions that
might be encountered, and a basis for reducing uncertainties.

38
39
40
41
42
43
44
45
46
47

The number of potential sources of uncertainty in area estimates will tend to increase from Approach 1 to
Approach 3, because successively more data are brought into the assessment. This does not imply that
uncertainty increases, however, because of the additional cross-checks that are made possible by the new data,
and because of the general reduction in uncertainties due to cancellation of errors. The main difference between
Approach 1, and Approaches 2 and 3 is that percentage uncertainties on conversion between land uses are likely
to be greater in Approach 1 (if known at all). This is because in Approach 1 land-use conversions are derived
from differences (net change) in total areas. The effect of this Approach 1 uncertainty on emissions and removals
from conversions will depend on the relative amount of land conversion in the country as a fraction of total land
area. Approach 3 produces detailed spatially-explicit information; which may be required e.g., for some spatial
modelling approaches to emissions estimation.

match each land-use category or sub-category to the most suitable carbon stock estimates, emission and
removal factors and other relevant data.

48

Draft 2006 IPCC Guidelines for National Greenhouse Gas Inventories

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TABLE 3.7
SUMMARY OF UNCERTAINTIES UNDER APPROACHES 1 TO 3

Approach 1

Sources of uncertainty

Ways to reduce uncertainty

Indicative uncertainty
following checks

Sources of uncertainty may include


some or all of the following,
depending on the nature of the
source of data:

Check for consistent


relationship with national
area

Order of a few % to order of


10% for total land area in each
category.

Correct for differences in


definitions

Consult statistical
agencies on likely
uncertainties involved

Compare with
international datasets

Error in census returns

Differences in definition
between agencies

Sampling design

Sampling error

Interpretation of samples

Only net change in area is


known

Greater % uncertainty for


changes in area derived from
successive surveys.

Systematic errors may be


significant when data prepared
for other purposes is used.

In addition:
Cross-checks on area changes
between categories cannot be
conducted under Approach 1 and
this will tend to increase
uncertainties.
Approach 2

As Approach 1, but gross changes


in area are known, and with ability
to carry out cross-checks

As above, plus consistency


checks between inter-category
changes within the matrix

Order of a few % to order of


10% for total land area in each
category, and greater for
changes in area, since these are
derived directly

Approach 3

As Approach 2 plus uncertainties


linked to interpretation of remote
sensing data where used, and minus
any sampling uncertainty

As Approach 2 plus formal


analysis of uncertainties using
principles set out in Volume 1
Chapter 3

As Approach 2, but areas


involved can be identified
geographically. However, for
Approach 3, the amount of
uncertainty can be estimated
more accurately than for
Approach 2 because errors are
mapped and can be tested
against independent data/field
checked

3.20

Draft 2006 IPCC Guidelines for National Greenhouse Gas Inventories

Chapter 3: Consistent Representation of Lands

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ANNEX 3A.1 EXAMPLES OF INTERNATIONAL LAND COVER DATASET

Dataset name

Asian Association on Remote Sensing (AARS)


Global 4-Minute Land Cover

International Geosphere-Biosphere Program


Data & Information Services (IGBP-DIS)
Global 1km Land Cover Data Set

Global Land Cover Dataset

Author

Center for Environmental Remote Sensing,


Chiba University

IGBP/DIS

United States Geological Survey (USGS),


USA

GLCF (Global Land Cover Facility)

Brief description
of contents

Land cover classes are identified through


clustering National Oceanic & Atmospheric
Administration (NOAA) Advanced Very High
Resolution Radiometer (AVHRR) monthly
data.

This classification is derived from AVHRR


1km data and ancillary data.

The data set is derived from a flexible data


base structure and seasonal land cover
regions concepts

Metrics describing the temporal dynamics of


vegetation were applied to 1984 PAL data at
8km resolution to derive a global land cover
classification product using a decision tree
classifier.

Classification
scheme

Original classification scheme is applied.


Compatible with IGBP/DIS classification
scheme.

It consists of 17 classes.

A convergence of evidence approach is used


to determine the land cover type for each
seasonal land cover class.

The classification was derived by testing


several metrics that describe the temporal
dynamics of vegetation over an annual cycle.

Data format
(vector/raster)

Raster

Raster

Raster

Raster

Spatial coverage

Global

Global

Global

Global

Data acquisition
year

1990

1992-1993

April 1992-March 1993

1987

Spatial resolution
4min x 4min.
or grid size

1km x 1km

1km x 1km

8km x 8km

Revision interval
(for time-series
datasets)

Not applicable

Not applicable

Not applicable

Not applicable

Quality
description

Ground truth data are compared against the


dataset.

High-resolution satellite imagery used to


statistically validate the dataset.

Sample point accuracy: 59.4% Areaweighted accuracy: 66.9% (Scepan, 1999).

No description

Contact address
and reference
URL

http://ceres.cr.chiba-u.ac.jp:8080/usrdir/you/ICHP/index.html

http://www.ngdc.noaa.gov/paleo/igbpdis/frame/coreprojects/index.html

icac@usgs.govhttp://edcdaac.usgs.gov/glcc/g
http://glcf.umiacs.umd.edu/index.shtml
lobe_int.html.

These datasets are primarily about land cover and/or land cover change. Few refer to actual land use.

Draft 2006 IPCC Guidelines for National Greenhouse Gas Inventories

3.21

Global Land Cover Dataset

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Examples of international land cover datasets (Continued)

Dataset name

Geocover

Author

MacDonald Dettwiler &


Associates

Brief
description of
contents

A medium resolution land


cover database from
orthorectified Landsat
Thematic Mapper imagery

Classification
scheme

13 class map

Data format
(vector/raster)

Raster & vector

Spatial
coverage

CORINE land cover (CLC2000) database

Digital Chart of the World

Global Map

Dr. Ruth De Fries University of


Maryland at College Park, USA

European Environmental Agency

ESRI Products

Produced by National Mapping


Organizations, and Compiled by ISCGM.

The data set describes the geographical


distributions of eleven major cover
types based on inter-annual variations
in NDVI.

It provides a pan-European inventory of


biophysical land cover. CORINE land cover
is a key database for integrated
environmental assessment.

It is a worldwide base map of coastlines,


boundaries, land cover, etc. Contains more
than 200 attributes arranged into 17 thematic
layers with text annotations for geographical
features.

Digital geographic information in 1 km


resolution covering the whole land with
standardized specifications and available
to everyone at marginal cost.

It consists of the digital 13 class map

Uses a 44 class nomenclature.

8 Agriculture/ Extraction features and 7


surface cover features.

Refer to http://www.iscgm.org/gmspecifications11.pdf

Raster

Raster

Vector Polygons

Raster and Vector

Global

Austria, Belgium, Bulgaria, Czech


Global coverage
Republic, Denmark, Finland, France,
Germany, Greece, Hungary, Ireland, Italy,
Luxembourg, Netherlands, Poland ,
Portugal, Romania, Slovakia, Spain, United
Kingdom, Parts of Morocco and Tunisia.

Participating countries (90 in number)

1987

Depends on the country (overall time span


is around 1985-95)

Based on ONCs of US Defence Mapping


Agency. Period 1970-80. Refer to the
Compilation date layer.

Depends on the participating nations.

1 x 1 degree

250m by 250m grid database which has


been aggregated from the original vector
data at 1:100,000.

1:1,000,000 scale

1km x 1km grids

Not applicable

CLC Update Project of 2000 for updating it Not applicable


to the 1990's data

No description

No specific information available. Refer to Data quality information exists at three levels Refer to http://www.iscgm.org/gmhttp://dataservice.eea.eu.int/dataservice/othe within the database: feature, layer and source. specifications11.pdf.
r/land_cover/lcsource.asp for country wise
information.

Global

Data
Various
acquisition year
Spatial
resolution or
grid size

30m x 30m grid

Revision
interval (for
time-series
datasets)

Not applicable

Quality
description

1 Land Cover Map from AVHRR

No description

landcov@geog.umd.edu
dataservice@eea.eu.int
http://www.esri.com/data/index.html
Contact
http://www.mdafederal.com/ http://www.geog.umd.edu/landcover/1 http://www.terrestrial.eionet.eu.int/CLC200
address and
geocover/project
d-map.html
0dataservice.eea.eu.int/dataservice/metadeta
reference URL
ils.asp?table=landcover and i=1

3.22

Draft 2006 IPCC Guidelines for National Greenhouse Gas Inventories

Approximately five-year intervals

sec@iscgm.org
http://www.iscgm.org/

Chapter 3: Consistent Representation of Lands

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ANNEX 3A.2 DEVELOPMENT OF LAND-USE


DATABASES

There are three broad sources of data for the land-use databases needed for greenhouse gas inventories:

databases prepared for other purposes;

collection by sampling; and

complete land inventory.

7
8
9
10

The following subsections provide general advice on the use of these types of data. Greenhouse gas inventory
preparers might not be involved in the detailed collection of remote sensing data or ground survey data, but can
use the guidance provided here to help plan inventory improvements and communicate with experts in these
areas.

11

3A.2.1

12
13
14

Two types of available databases may be used to classify land. In many countries, national datasets of the type
discussed below will be available. Otherwise, inventory compilers may use international datasets. Both types of
databases are described below.

15

NATIONAL DATABASES

16
17
18

These will usually be based on existing data, updated annually or periodically. Typical sources of data include
forest inventories, agricultural census and other surveys, censuses for urban and natural land, land registry data
and maps.

19

INTERNATIONAL DATABASES

20
21
22
23

Several projects have been undertaken to develop international land-use and land cover datasets at regional to
global scales (Annex 3A.1 lists some of these datasets). Almost all of these datasets are stored as raster data
generated using different kinds of satellite remote sensing imagery, complemented by ground reference data
obtained by field survey or comparison with existing statistics/maps. These datasets can be used for:

24
25
26

Estimating spatial distribution of land-use categories. Conventional inventories usually provide only the
total sum of land-use area by classes. Spatial distribution can be reconstructed using international land-use
and land cover data as auxiliary data where national data are not available.

27
28
29
30

Reliability assessment of the existing land-use datasets. Comparison between independent national and
international datasets can indicate apparent discrepancies, and understanding these may increase confidence
in national data and/or improve the usability of the international data, if required for purposes such as
extrapolation.

31

When using an international dataset, inventory compilers should consider the following:

Use of Data Prepared for Other Purposes

32
33
34
35

(i)

The classification scheme (e.g., definition of land-use classes and their relations) may differ from
that in the national system. The equivalence between the classification systems used by the country
and the systems described in Section 3.2 (Land-use categories) therefore needs to be established by
contacting the international agency and comparing their definitions with those used nationally.

36
37

(ii)

Spatial resolution (typically 1km nominally but sometimes an order of magnitude more in practice)
may be coarse, so national data may need aggregating to improve comparability.

38
39
40

(iii)

Classification accuracy and errors in geo-referencing may exist, though several accuracy tests are
usually conducted at sample sites. The agencies responsible should have details on classification
issues and tests undertaken.

41
42

(iv)

As with national data, interpolation or extrapolation will probably be needed to develop estimates
for the time periods to match the dates required for reporting.

43

Draft 2006 IPCC Guidelines for National Greenhouse Gas Inventories

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Government Consideration
1

3A.2.2

Collection of New Data by Sampling Methods

2
3
4
5

Sampling techniques for estimating areas and area changes are applied in situations where total tallies by direct
measurements in the field or assessments by remote sensing techniques are not feasible or would provide
inaccurate results. Sampling concepts that allow for estimation procedures that are consistent and unbiased, and
result in estimates that are precise, should be used.

6
7
8
9
10
11

Sampling usually involves a set of sampling units that are located on a regular grid within the inventory area. A
land-use class is then assigned to each sampling unit. Sampling units can be used to derive the proportions of
land-use categories within the inventory area. Multiplying the proportions by the total area provides estimates of
the area of each land-use category. Where the total area is not known it is assumed that each sampling unit
represents a specific area. The area of the land-use category can then be estimated via the number of sampling
units that fall into this category.

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Where sampling for areas is repeated at successive occasions, area changes over time can be derived to construct
land-use conversion matrices.

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Applying a sample-based type for area assessment enables the calculation of sampling errors and confidence
intervals that quantify the reliability of the area estimates in each category. Confidence intervals can be used to
verify if observed category area changes are statistically significant and reflect meaningful changes.

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Annex 3A.3 provides more information on sampling.

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3A.2.3

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A complete inventory of land use of all areas in a country will entail obtaining maps of land use throughout the
country at regular intervals. This can be achieved by using remote sensing techniques. As outlined under
Approach 3, the data will be most easily used in a GIS based on a set of grid cells or polygons supported by
ground truth data needed to achieve unbiased interpretation. Coarser scale data can be used to build data for the
whole country or appropriate regions.

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A complete inventory can also be achieved by surveying all landowners and each would need to provide suitable
data where they own many different blocks of land. Inherent problems in the method include obtaining data at
scales smaller than the size of the owners land as well as difficulties with ensuring complete coverage with no
overlaps.

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3A.2.4

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REMOTE SENSING (RS) TECHNIQUES

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Remotely sensed data, as discussed here, are those acquired by sensors (optical, radar or lidar) onboard satellites,
or by cameras equipped with optical or infrared films, installed in aircraft. These data are usually classified to
provide estimates of the land cover and its corresponding area, and usually require ground survey data to provide
an estimate of the classification accuracy. Classification can be done either by visual analysis of the imagery or
photographs, or by digital (computer-based) methods. The strengths of remote sensing come from its ability to
provide spatially-explicit information and repeated coverage, including the possibility of covering large and/or
remote areas that are difficult to access otherwise. Archives of past remote sensing data also span several
decades and can therefore be used to reconstruct past time-series of land cover and land use. The challenge of
remote sensing is related to the problem of interpretation: the images need to be translated into meaningful
information on land cover and land use. Depending on the satellite sensor, the acquisition of data may be
impaired by the presence of atmospheric clouds and haze. Another concern, particularly when comparing data
over long time periods, is that remote sensing systems may change. Remote sensing is particularly useful for
obtaining area estimates of land cover and land-use categories and for assisting in the identification of relatively
homogeneous areas that can guide the selection of sampling schemes and the number of samples to be collected.

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Types of remote sensing (RS) data

Collection of New Data in Complete Inventories

Tools for Data Collection

The most commonly used types of RS data are: 1) aerial photographs, 2) satellite imagery using visible and/or
near-infrared bands, 3) satellite or airborne radar imagery and, 4) lidar. Combinations of different types of
remote sensing data (e.g., visible/infrared and radar; different spatial or spectral resolutions) might very well be
used for assessing different land-use categories or regions. A complete remote sensing system for tracking landuse conversions can include many sensor and data type combinations at a variety of resolutions.

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Important criteria for selecting remote sensing data and products are:

Adequate land-use categorisation scheme;

Appropriate spatial resolution;

Appropriate temporal resolution for estimating of land-use conversion;

Availability of accuracy assessment;

Transparent methods applied in data acquisition and processing; and

Consistency and availability over time.

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1. Aerial photographs
Analysis of aerial photographs can reveal forest tree species and forest structure from which relative age
distribution and tree health (e.g., needle loss in coniferous forests, leaf loss and stress in deciduous forests) may
be inferred. In agriculture, analysis can show crop species, crop stress, and tree cover in agro-forestry systems.
The smallest spatial unit possible to assess depends on the type of aerial photos used, but for standard products it
is often as small as 1 square metre.

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2. Satellite images in visible and near infrared wavelengths

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3. Radar imagery

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4. Lidar

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Ground reference data

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Integration of remote sensing and GIS

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Full use of remote sensing generally requires integration of the extensive coverage that remote sensing can
provide with ground-based point measurements or map data to represent areas associated with particular land

Complete land use or land cover of large areas (national or regional) may be facilitated by the use of satellite
images. The possibility exists of obtaining long time-series of data from the desired area since the satellite
continuously and regularly passes over it. The images usually generate a detailed mosaic of distinct categories,
but the labelling into proper land cover and land-use categories commonly requires ground reference data from
maps or field surveys. The smallest unit to be identified depends on the spatial resolution of the sensor and the
scale of work. The most common sensor systems have a spatial resolution of 20 30 metres. At a spatial
resolution of 30 metres, for example, units as small as 1ha can be identified. Data from higher resolution
satellites are also available.
The most common type of radar data are from the so-called Synthetic Aperture Radar (SAR) systems that
operate at microwave frequencies. A major advantage of such systems is that they can penetrate clouds and haze,
and acquire data during night-time. They may therefore be the only reliable source of remote sensing data in
many areas of the world with quasi-permanent cloud cover. By using different wavelengths and different
polarisations, SAR systems may be able to distinguish land cover categories (e.g., forest/non-forest), or the
biomass content of vegetation, although there are at present some limitations at high biomass due to signal
saturation.

Light detection and ranging (lidar) uses the same principles as radar. The lidar instrument transmits light out to a
target. The transmitted light interacts with and is changed by the target. Some of this light is reflected/scattered
back to the instrument where it is analysed. The change in the properties of the light enables some property of
the target to be determined. The time for the light to travel out to the target and back to the lidar is used to
determine the range to the target. There are three basic types of lidar: range finders, differential absorption lidar,
and doppler.

In order to make use of remote sensing data for inventories, and in particular to relate land cover to land use it is
good practice to complement the remotely sensed data with ground reference data (often called ground truth
data). Ground reference data can either be collected independently, or be obtained from forest or agricultural
inventories. Land uses that are rapidly changing over the estimation period or that have vegetation cover known
to be easily misclassified should be more intensively ground-truthed than other areas. This can only be done by
using ground reference data, preferably from actual ground surveys collected independently. High-resolution
photographs may also be useful.

Visual interpretation of images is often used for identifying sampling sites for forestry inventories. The method
is simple, and reliable. However, it is labour intensive and therefore restricted to limited areas, and may be
affected by subjective interpretations by different operators.

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uses in space and time. This is generally achieved most cost effectively using a geographical information system
(GIS).

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Classification of land cover using remotely sensed data may be done by visual or digital (computer based)
analysis. Each one presents advantages and disadvantages. Visual analysis of imagery allows for human
inference through the evaluation of overall characteristics of the scene (analysis of the contextual aspects in the
image). Digital classification, on the other hand, allows several manipulations to be performed with the data,
such as merging of different spectral data, which can help to improve modelling of the biophysical ground data
(such as tree diameter, height, basal area, biomass) using the remotely sensed data. In addition, digital analysis
allows for the immediate computation of areas associated with the different land categories. It has developed
rapidly over the past decade, along with the associated technical computer development, making hardware,
software and also the satellite data readily available at low cost in most countries, although capacity to use these
data and facilities may have to be outsourced, particularly in mapping at national level.

Land cover classification using remotely sensed data

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Detection of land-use conversion using RS

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Post-classification change detection: This refers to techniques where two or more predefined land cover/use
classifications exist from different points in time, and where the changes are detected, usually by subtraction of
the datasets. The techniques are straightforward but are also sensitive to inconsistencies in interpretation and
classification of the land-use categories.

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Pre-classification change detection: This refers to more sophisticated and biophysical approaches to change
detection. Differences between spectral response data from two or more points in time are compared by
statistical methods and these differences are used to provide information on land cover/use changes. This type is
less sensitive to interpretation inconsistencies and can detect much more subtle changes than the postclassification approaches, but is less straightforward and requires access to the original remotely sensed data.

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There are also other viable methods. For example, one can use change enhancements and visual interpretation.
Areas of change are highlighted through display of different band combinations, band differences or derived
indices (e.g. vegetation indices). This focuses attention on potential land-use conversions sites that can then be
delineated and attributed through manual or automated techniques. These methods are subject to human
interpreter inconsistencies, but are capable of detecting subtle changes and better detecting and mapping land-use
conversion where land cover, context and ancillary information is needed to determine land-use conversion.

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Evaluation of mapping accuracy

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Inventory compilers should estimate the accuracy of land-use/land cover maps on a category-by-category basis.
A number of sample points on the map and their corresponding real world categories are used to create a
confusion matrix (see footnote 5 in Annex 3A.4) with the diagonal showing the proportion of correct
identification and the off-diagonal elements showing the relative proportion of misclassification of a land
category into one of the other possible categories. The confusion matrix expresses not only the accuracy of the
map but it is also possible to assess which categories are easily confounded with each other. Based on the
confusion matrix, a number of accuracy indices can be derived (Congalton, 1991). Multi-temporal analysis
(analysis of images taken at different times to determine the stability of land-use classification) can also be used
to improve classification accuracy, particularly in cases where ground truth data are limited.

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GROUND-BASED SURVEYS

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Ground-based surveys may be used to gather and record information on land use, and for use as independent
ground-truth data for remote sensing classification. Prior to the advent of remote sensing techniques such as
aerial photography and satellite imagery, ground-based surveys were the only means of generating maps. The
process is essentially one of visiting the area under study and recording visible and/or other physical attributes of

Remote sensing can be used to detect locations of change. Methods for change detection can be divided into two
categories (Singh, 1989):

Whenever a map of land cover or land use is being used, inventory compilers should acquire information about
the reliability of the map. When such maps are generated from classification of remote sensing data, it should be
recognised that the reliability of the map is likely to vary between the different land categories. Some categories
may be uniquely distinguished while others may be confounded with others. For example, coniferous forest is
often more accurately classified than deciduous forest because its reflectance characteristics are more distinct,
while deciduous forest may easily be confounded with, for example, Grassland or Cropland. Similarly, it is often
difficult to ascertain changes in land management practices through remote sensing. For example, it may be
difficult to detect a change from intensive to reduced tillage on a specific land area.

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the landscape for mapping purposes. Digitisation of boundaries and symbolising attributes are used to make hard
copy field notes and historical maps useful in Geographical Information Systems (GIS). This is done via
protocols on minimum land area delineation and attribute categorization that are linked to the scale of the
resultant map and its intended use.

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Very precise measurements of area and location can be made using a combination of survey equipment such as
theodolites, tape measures, distance wheels and electronic distance measuring devices. Development of Global
Positioning Systems (GPS) means that location information can be recorded in the field directly into electronic
format using portable computer devices. Data are downloaded to an office computer for registration and
coordination with other layers of information for spatial analysis.

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Landowner interviews and questionnaires are used to collect socio-economic and land management information,
but may also provide data on land use and land-use conversion. With this census type, the data collection agency
depends on the knowledge and records of landowners (or users) to provide reliable data. Typically, the resident
is visited and interviewed by a representative of the collection agency and data are recorded in a predetermined
format, or a questionnaire is issued to the land user for completion. The respondent is usually encouraged to use
any relevant records or maps they may have, but questions may also be used to elicit information directly
(Swanson et al., 1997).

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Census surveys are probably the oldest form of data collection methods (Darby, 1970). Land user surveys can be
conducted on the entire population or a sample of suitable size. Modern applications employ a full range of
validation and accuracy assessment techniques. The survey may be undertaken through personal visits, telephone
interviews (often with computer-assisted prompts) or mail-out questionnaires. Land user surveys start with the
formulation of data and information needs into a series of simple and clear questions soliciting concise and
unequivocal responses. The questions are tested on a sample of the population in order to ensure that they are
understandable and to identify any local technical terminology variations. For sample applications, the entire
study area is spatially stratified by appropriate ecological and/or administrative land units, and by significant
categorical differences within the population (e.g., private versus corporate, large versus small, pulp versus
lumber, etc.). For responses dealing with land areas and management practices, some geographic location,
whether precise coordinates, cadastral description or at least ecological or administrative units should be required
of the respondent. Post-survey validation of results is conducted by searching for statistical anomalies,
comparing with independent data sources, conducting a sample of follow-up verification questionnaires or
conducting a sample of on-site verification surveys. Finally, presentation of results must follow the initial
stratification parameters.

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1

ANNEX 3A.3 SAMPLING

3A.3.1

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Data on land use are often obtained from sample surveys and typically are used for estimating changes in land
use or in carbon stocks. National forest inventories are important examples of the type of surveys used. This
section provides guidance for the use of data from sample surveys for the reporting of emissions and removals of
greenhouse gases, and for the planning of sample surveys in order to acquire data for this purpose.

3A.3.2

Introduction

Overview on Sampling Principles

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Sampling infers information about an entire population by observing a fraction of it: the sample (see Figure
3A.3.1). For example, changes of carbon in tree biomass at regional or national levels can be estimated from the
growth, mortality and cuttings of trees on a limited number of sample plots. Sampling theory then provides the
means for scaling up the information from the sample plots to the selected geographical level. Properly designed
sampling can greatly increase efficiency in the use of inventory resources. Furthermore, field sampling is generally
needed in developing inventories because, even if remote sensing data provide complete territorial coverage, there
will be a need for ground-based data from sample sites for interpretation and verification.

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Figure 3A.3.1

Principle of sampling

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Selection

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Population

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Sample

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Inference

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Standard sampling theory relies on random selection of a sample from the population; each unit in the population
has a specific probability of being included in the sample. This is the case when sample plots have been
distributed entirely at random within an area, or when plots have been distributed in a systematic grid system as
long as the positioning of the grid is random. Random sampling reduces the risk of bias and allows for an
objective assessment of the uncertainty of the estimates. Therefore, randomly sampled data generally should be
used where available, or when setting up new surveys.

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Samples may also be taken at subjectively chosen locations, which are assumed to be representative for the
population. This is called subjective (or purposive) sampling and data from such surveys are often used in
greenhouse gas inventories (i.e., when observations from survey sites that were not selected randomly are used to
represent an entire land category or strata). Under these conditions, observations about, for example, forest type
might be extrapolated to areas for which they are not representative. However, due to limited resources
greenhouse gas inventories may need to make use of data also from subjectively selected sites or research plots.
In this case, it is good practice to identify, in consultation with the agencies responsible for the sites or plots, the
land areas for which the subjective samples can be regarded as representative.

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3A.3.3

Sampling Design

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Sampling design determines how the sampling units (the sites or plots) are selected from the population and thus
what statistical estimation procedures should be applied to make inferences from the sample. Random sampling
designs can be divided into two main groups, depending on whether or not the population is stratified (i.e., subdivided before sampling) using auxiliary information. Stratified surveys will generally be more efficient in terms
of what accuracy can be achieved at a certain cost. On the other hand, they tend to be slightly more complex,
which increases the risk of non- sampling errors due to incorrect use of the collected data. Sampling designs
should aim for a good compromise between simplicity and efficiency, and this can be promoted by following
three aspects as set out below:

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Use of auxiliary data and stratification;

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Systematic sampling;

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Permanent sample plots and time-series data.

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Use of auxiliary data and stratification

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Stratification increases efficiency in two main ways: (i) by improving the accuracy of the estimate for the entire
population; and (ii) by ensuring that adequate results are obtained for certain subpopulations, e.g., for certain
administrative regions.

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On the first issue, stratification increases sampling efficiency if a sub-division of the population is made so that
the variability between units within a stratum is reduced as compared to the variability within the entire
population. For example, a country may be divided into a lowland region (with certain features of the land-use
categories of interest) and an upland region (with different features of the corresponding categories). If each
stratum is homogeneous a precise overall estimate can be obtained using only a limited sample from each
stratum. The second issue is important for purposes of providing results at a specific degree of accuracy for all
administrative regions of interest, but also in case sampled data are to be used together with other existing
datasets, which have been collected using different protocols with the same administrative or legal boundaries.

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Use of remote sensing or map data for identifying the boundaries of the strata (the land-use class sub-divisions to
be included in a sample survey) can introduce errors where some areas may be incorrectly classified as
belonging to the stratum whilst other areas that do belong to the specific class are missed. Errors of this kind can
lead to substantial bias in the final estimates, since the area identified for sampling will then not correspond to
the target population. Whenever there is an obvious risk that errors of this kind may occur, it is good practice to
make an assessment of the potential impact of such errors using ground truth data.

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When data for the reporting of greenhouse gas emissions or removals are taken from existing large- scale
inventories, such as national forest inventories, it is convenient to apply the standard estimation procedures of
that inventory, as long as they are based on sound statistical principles. In addition, post- stratification (i.e.,
defining strata based on remote sensing or map auxiliary data after the field survey has been conducted) means
that it may be possible to use new auxiliary data to increase efficiency without changing the basic field design
(Dees et al., 1998). Using this estimation principle, the risk for bias pointed out in the previous paragraph also
can be reduced.

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Systematic sampling

One of the most important sampling designs which incorporate auxiliary information is stratification, whereby
the population is divided into subpopulations on the basis of auxiliary data. These data may consist of
knowledge of legal, administrative boundaries or boundaries of forest administrations which will be efficient to
sample separately, or maps or remote sensing data distinguishing between upland and lowland areas or between
different ecosystem types. Since stratification is intended to increase efficiency, it is good practice to use
auxiliary data when such data are available or can be made available at low additional cost.

Sample based forest or land-use surveys generally make use of sample points or plots on which the
characteristics of interest are recorded. One important issue here regards the layout of these points or plots. It is
often appropriate to allocate the plots in small clusters in order to minimise travel costs when covering large
areas with a sample based survey. With cluster sampling, the distance between plots should be large enough to
avoid major between-plot correlation, taking (for forest sampling) stand size into account. An important issue is
whether plots (or clusters of plots) should be laid out entirely at random or systematically using a regular grid,
which is randomly located over the area of interest (see Figure 3A.3.2). In general, it is efficient to use
systematic sampling, since in most cases this will increase the precision of the estimates. Systematic sampling
also simplifies the fieldwork.

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Figure 3A.3.2

Simple random layout of plots (left) and systematic layout (right)

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Somewhat simplified, the reason why systematic random sampling generally is superior to simple random
sampling is that sample plots will be distributed evenly to all parts of the target area.3 With simple random
sampling, some parts of an area may have many plots while other parts will not have any plots at all.

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Permanent sample plots and time-series data

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When undertaking repeated sampling, the required data regarding the current state of areas or carbon stocks are
assessed on each occasion. Changes are then estimated by calculating the difference between the state at time (t + 1)
from the state at time t. Three common sampling designs can be used for change estimation:

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The same sampling units are used on both occasions (permanent sampling units);

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Different, independent sets of sampling units are used on both occasions (temporary sampling units);

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Some sampling units can be replaced between occasions while others remain the same (sampling with
partial replacement).

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Figure 3A.3.3 shows these three approaches.

Greenhouse gas inventories must assess both current state and changes over time (e.g., in areas of land-use
categories and carbon stocks). Assessment of changes is most important and it involves repeated sampling over
time. The time interval between measurements should be determined based on the frequency of the events that
cause changes, and also on the reporting requirements. Generally, sampling intervals of 5-10 years are adequate,
and in many countries data from well designed surveys are already available for many decades, especially in the
forest sector. Nevertheless, since estimates for the reporting are required on an annual basis, interpolation and
extrapolation methods will need to be applied. Where sufficiently long time-series are not available, it may be
necessary to extrapolate backwards in time to capture the dynamics of carbon stock changes.

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In unusual cases when there is a regular pattern in the terrain that may coincide with the systematic grid system, systematic
sampling may lead to less precise estimates than simple random sampling. However, such potential problems generally can
be handled by orienting the grid system in another direction.

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Figure 3A.3.3

Use of different configurations of permanent and temporary sampling units


for estimating changes

Identical set

Independent sets

Sampling with partial replacement

(permanent plots)

(temporary plots)

(permanent and temporary plots)

Sampling unit measured at occasion 1


Sampling unit measured at occasion 2
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Permanent sample plots generally are more efficient in estimating changes than temporary plots because it is
easier to distinguish actual trends from differences that are only due to changed plot selection. However, there
are also some risks in the use of permanent sample plots. If the locations of permanent sample plots become
known to land managers (e.g., by visibly marking the plots), there is a risk that management of the permanent
plots will differ from the management of other areas. If this occurs, the plots will no longer be representative and
there is an obvious risk that the results will be biased. If it is perceived that there might be a risk of the above
kind, it is good practice to assess some temporary plots as a control sample in order to determine if the
conditions on these plots deviate from the conditions on the permanent plots.

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The use of sampling with partial replacement can address some of the potential problems with relying on
permanent plots, because it is possible to replace sites that are believed to have been treated differently.
Sampling with partial replacement may be used, although the estimation procedures are complicated (Scott and
Khl, 1994; Khl et al., 1995).

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When only temporary plots are used, overall changes still can be estimated but it will no longer be possible to
study land-use conversions between different categories unless a time dimension can be introduced into the
sample. This can be done by drawing on auxiliary data, for example maps, remote sensing or administrative
records about the state of land in the past. This will introduce additional uncertainty into the assessment which it
may be difficult to quantify other than by expert judgement.

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3A.3.4

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Many approaches for assessing land-use areas or conversions in areas of land use rely on sampling. Areas and
changes in areas can be estimated in two different ways using sampling:

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Estimation via proportions;

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Direct estimation of area.

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The first approach requires that the total area of the survey region is known, and that the sample survey provides
only the proportions of different land-use category. The second approach does not require the total area to be
known.

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Both approaches require assessment of a given number of sampling units located in the inventory area. Selection
of sampling units may be performed using simple random sampling or systematic sampling (see Figure 3A.3.2).
Systematic sampling generally improves the precision of the area estimates, especially when the different landuse classes occur in large patches. Stratification also may be applied to improve the efficiency of the area
estimates; in this case it is good practice to perform the procedures described below independently in each
stratum.

Sampling Methods for Area Estimation

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In estimating proportions it is assumed that the sampling units are dimensionless points, although a small area
around each point must be considered when the land-use category is determined. Sample plots may also be used
for area estimation, although this principle is not further elaborated here.

3A.3.5

Estimation of areas via proportions

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The total area of an inventory region is generally known. In this case the estimation of the areas of different landuse categories can be based on assessments of area proportions. When applying this approach, the inventory area
is covered by a certain number of sample points, and land use is determined for each point. The proportion of
each land-use category then is calculated by dividing the number of points located in the specific category by the
total number of points. Area estimates for each land-use category are obtained by multiplying the proportion of
each category by the total area.

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as A (p i (1 p i )) (n 1) , where pi is the proportion of points in the particular land-use category i; A the known

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total area, and n the total number of sample points.4 The 95% confidence interval for Ai, the estimated area of
land-use category i, will be given approximately by 2 times the standard error.
TABLE 3A.3.1
EXAMPLE OF AREA ESTIMATION VIA PROPORTIONS
Sampling procedure

Estimation of proportions

Estimated areas of land-use


category

Standard error

pi = ni / n

Ai = pi A

s(Ai)

0.333
p2 = 2/ 9 0.222
p3 = 4/ 9 0.444

A1 = 300 ha

s(A1)= 150.0 ha

A2 = 200 ha

s(A2)= 132.2 ha

A3 = 400 ha

s(A3)= 158.1 ha

p1 = 3/ 9

Sum = 1.0

Total = 900 ha

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Where:

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total area (= 900 ha in the example)

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Ai =

estimated area of land-use category i

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ni

number of points located in land-use category i

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total number of points

21
22

Estimates of land-use conversion areas can be made by introducing categories of the type Aij where land use is
converted from category i to category j between successive surveys.

23

3A.3.6

24
25
26
27
28

Whenever the total inventory area is known, it is efficient to estimate areas, and area changes, via assessment of
proportions, since that procedure will result in the highest accuracy. In cases where the total inventory area is not
known or is subject to unacceptable uncertainty, an alternative procedure that involves a direct assessment of
areas under different land-use classes can be applied. This approach can only be used when systematic sampling
is applied; each sample point will represent an area corresponding to the size of the grid cell of the sample layout.

29
30
31

For example, when sample points are selected from a square systematic grid with 1000 metres distance between
the points, each sample point will represent an area of 1km 1km = 100 ha. Thus, if 15 plots fall within a
specific land-use class of interest the area estimate will be 15 100 ha = 1500 ha.

Direct estimation of area

32

Note that this formula is only approximate when systematic sampling is applied.

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1
2
3
4

ANNEX 3A.4 OVERVIEW OF POTENTIAL METHODS


FOR DEVELOPING APPROACH 3 DATASETS
Figure 3A.4.1

Overview of Approach 3: Direct and repeated assessments of land use from


full spatial coverage

Description
Under Approach 3 the country is sub-divided into spatial units such as grid cells or small polygons. In this
example grid cells are used for sub-division of the area. The grid cells may be sampled by remote sensing
and/or ground survey, in order to establish the areas of the land use whose estimated extent is shown by the
grey lines below the grid. Remote sensing can also enable complete coverage of all grid cells (Figure
3A.4.1A) in the interpretation of land use. Ground surveys can be carried out in a sample of grid cells and
can be used to establish land use directly, as well as to help interpret remotely sensed data. The sample of
grid cells can be distributed regularly (Figure 3A.4.1B) or irregularly (Figure 3A.4.1C), for example, to
give greater coverage where land-use conversion is more likely. Generalised maps can be prepared using
the grid cells, which can also be aggregated into polygons (Figure 3A.4.1D). The final result of the
Approach can result in either a tabular or spatially-explicit land-use conversion matrix.

Time 1

Time 2

Figure 3A.4.1A Remote sensing can also enable complete coverage of all grid cells

G
G
G
G

G
G
G
G
G
F

G
G
G
G
F
F
F

G
F
F
F
F
F

F
F
F
F
C
F

F
C
C
C
C

C
C
C
C
C

C
S

C
S

C
C

G
G
G
G

G
G
G
G
G
G

F
F
G
G
G
G
G

F
F
F
F
G
G

F
F
F
F
C
C

C
C
C
C
C

C
C
C
C
C

S
S

S
S

C
C

Figure 3A.4.1B The sample of grid cells can be distributed regularly

G
G

G
G

G
G

G
F

F
G

C
F

F
F

C
S

G
C

G
G

C
F

F
F

F
F

G
G

C
F

G
G

S
S

C
C

Figure 3A.4.1C The sample of grid cells can be distributed irregularly

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G
G
G

G
F

G
G
F

G
F
F

F
F

C
F

F
C
C
C
C

C
S

C
S

G
G

G
G

F
F
F

G
G
G

F
F

C
G

C
C
C
C

S
S

S
S

Figure 3A.4.1D Generalised maps can be prepared using the grid cells, which can also be aggregated into
polygons

G
F

S
C

S S
C

1
2

Note: F = Forest land, G = Grassland, C = Cropland, W = Wetlands, S = Settlements, O = Other land

3.34

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When using Approach 3, inventory compilers should:

2
3
4

Use a sampling strategy consistent with the advice provided in this chapter. This strategy should ensure that
the data are unbiased and can be scaled up where necessary. The number and location of the sampling units
may need to change over time in order to remain representative.

5
6
7
8
9
10
11

Where remote sensing data are used, develop a method for its interpretation into land categories using
ground reference data as set out in this chapter (Remote sensing techniques). Care should be taken to
correctly assign land cover information obtained through imagery, into land-use category. Conventional
forest inventories or other survey data can be used for this. It is necessary to avoid possible misclassification
of land types and map accuracy established by means of ground reference or very high resolution remotely
sensed data. The conventional technique is to establish a matrix5 showing, for any given classification of
land, the proportion of misclassification as one of the other candidate classifications.

12
13

Construct confidence intervals for those land category areas and changes in area that will be used in the
estimation of carbon stock changes, emissions and removals.

14

Derive summary tables of the national areas under different land-use conversion.

15

Sometimes called the confusion matrix.

Draft 2006 IPCC Guidelines for National Greenhouse Gas Inventories

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1
2

ANNEX 3A.5 DEFAULT CLIMATE AND SOIL


CLASSIFICATIONS

3
4
5
6
7
8
9
10
11
12

Climate regions are classified in order to apply emission and stock change factors for estimating biomass, dead
organic matter and soil C stock changes. The default climate classification is provided in Figure 3A.5.1 and can
be derived using the classification scheme in Figure 3A.5.2. This classification should be used for Tier 1
methods because the default emission and stock change factors were derived using this scheme. Note that
climate regions are further subdivided into ecological zones to apply the Tier 1 method for estimating biomass C
stock changes (see Table 4.1, Chapter 4). Inventory compilers have the option of developing a country-specific
climate classification if using Tier 2 and 3 methods, along with country-specific emission and stock change
factors. It is good practice to apply the same classification, either default or country-specific, across all land-use
types. Thus, stock change and emission factors are assigned to each pool in a national inventory using a uniform
classification of climate.

13
14
15
16
17

Soils are classified in order to apply reference C stocks and stock change factors for estimation of soil C stock
changes, as well as the soil N2O emissions (i.e., organic soils must be classified to estimate N2O emissions
following drainage). Organic soils are found in wetlands or have been drained and converted to other land-use
types (e.g. cropland, grassland, forest land, settlements). Organic soils are identified on the basis of criteria 1
and 2, or 1 and 3 listed below (FAO 1998):

18
19

1) Thickness of organic horizon greater than or equal to 10 cm. A horizon of less than 20 cm must have
12 percent or more organic carbon when mixed to a depth of 20 cm.

20
21

2) Soils that are never saturated with water for more than a few days must contain more than 20 percent
organic carbon by weight (i.e., about 35 percent organic matter).

22

3) Soils is subject to water saturation episodes and has either

23
24

a.

At least 12 percent organic carbon by weight (i.e., about 20 percent organic matter) if the soil
has no clay; or

25
26

b.

At least 18 percent organic carbon by weight (i.e., about 30 percent organic matter) if the soil
has 60% or more clay; or

27

c.

An intermediate, proportional amount of organic carbon for intermediate amounts of clay.

28
29
30
31
32
33
34
35

All other types of soils are classified as mineral. A default mineral soil classification is provided in Figure
3A.5.3 for categorizing soil types based on the USDA taxonomy (USDA, 1999) and Figure 3A.5.4 for the
World Reference Base for Soil Resources Classification (FAO, 1998) (Note: Both classifications produce
the same default IPCC soil types). The default mineral soil classification should be used with Tier 1
methods because default reference C stock and stock change factors were derived according to these soil
types. Inventory compilers have the option of developing a country-specific classification if applying Tier 2
and 3 methods, in combination with developing country-specific reference C stocks and stock change
factors. It is good practice to use the same classification of soils across all land-use types.

36

3.36

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Figure 3A.5.1 Delineation of major climate zones, updated from the 1996 IPCC Guidelines.

Draft 2006 IPCC Guidelines for National Greenhouse Gas Inventories

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1
2
3
4

Figure 3A.5.2 Classification scheme for default climate regions. The classification is based on
elevation, mean annual temperature (MAT), mean annual precipitation
(MAP), mean annual precipitation:potential evapotransporation ratio
(PET:MAP),and frost occurrence.

MAT >18C
and = 7 days of
frost /year

Start

MAT > 10C?

No

Yes

Yes

Tropical
Montane

Yes

Elevation
>1000m?

Warm
Temperate
Moist

MAP:PET
>1?

Yes

No
No

Tropical Wet

Yes

No

Warm
Temperate
Dry

MAP >
2000mm?
No

MAT
>0C?
Tropical
Moist

Yes

MAP =
2000mm and
> 1000mm?

Yes

MAP:PET
>1?

Cool
Temperate
Moist

Yes

No
No

No

Cool
Temperate
Dry

Tropical Dry

Polar Moist

Boreal Moist

Yes

Yes

MAP:PET
>1?

Yes

All Months
Average <10C?

No

MAP:PET
>1?

No

No

Polar Dry

Boreal Dry

5
6
7
8
9

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Figure 3A.5.3 Classification scheme for mineral soil types based on USDA taxonomy

2
3
4
5
6

Greater
than 70% sand
and less than 8%
clay

Start

Sandy Soils

Yes

8
9

No

10
11

Aquic

12

Yes

Wetland Soils

Yes

Volcanic
Soils

Yes

Spodic Soils

Soil?

13
14

No

15
16
17

Andisols?

No

Spodisols?

No

Low Activity
Clay Soils

No

Mollisols,
Vertisols, High-base
status, Alfisols,
Aridisols,
Inceptisols?

Draft 2006 IPCC Guidelines for National Greenhouse Gas Inventories

Yes

High Activity
Clay Soils

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1
2

Figure 3A.5.4 Classification scheme for mineral soil types based on World Reference Base for
Soil Resources (WRB) classification.

3
4
5

Greater
than 70% sand
and less than 8%
clay?

Start

6
7

Yes

Sandy Soils

8
9

No

10
11

Gleysols?

12

Yes

Wetland Soils

Yes

Volcanic
Soils

Yes

Spodic Soils

13
No

14
15
16

Andosols?

17
18
19

No

20
21
Podzols?

22
23
24

No

25
26
27
28
29
30

Low Activity
Clay Soils

31
32

No

Leptosols,
Vertisols, Kastanozems, Chernozems,
Phaeozems,Luvisols,,Alisols,
Albeluvisols, Solonetz,
Calcisols,Gypsisols,
Umbrisols, Cambisols,Regosols?

Yes

High Activity
Clay Soils

33
34
35
36
37
38
39
40

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References

2
3

Congalton R.G. (1991). A review of assessing the accuracy of classifications of remotely sensed data. Remote
Sensing of Environment, 37(1), pp. 35-46.

4
5

Darby H.C. (1970). Doomsday Book The first land utilization survey. The Geographical Magazine, 42(6), pp.
416 423.

6
7

FAO (1995). Planning for Sustainable use of Land Resources: Towards a New Type. Land and Water Bulletin 2,
Food and Agriculture Organisation, Rome Italy, 60 pp.

Scott and Kohl (1994) Sampling with partial replacement and stratification.Forest Science 40(1):30-46.

9
10

Singh A., (1989). Digital change detection techniques using remotely sensed data. Int. J. Remote Sensing, 10(6),
pp. 989 1003.

11
12

Swanson B.E., R.P. Bentz and A.J., Sofranco (Eds.). (1997). Improving agricultural extension. A reference
manual. Food and Agriculture Organization of the United Nations, Rome.

13

USGS (2001) http://edcdaac.usgs.gov/glcc/globe_int.html

14

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Chapter 4: Forest Land

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2
3

CHAPTER 4

FOREST LAND

Draft 2006 IPCC Guidelines for National Greenhouse Gas Inventories

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1

Authors

2
3
4

Harald Aalde (Norway), Patrick Gonzalez (USA), Michael Gytarsky (Russia), Thelma Krug (Brazil), Werner A.
Kurz (Canada), Stephen M. Ogle (USA), John Raison (Australia), Dieter Schoene (FAO), and N.H.
Ravindranath (India)

5
6

Nagmeldin G. Elhassan (Sudan), Linda Heath (USA), Niro Higuchi (Brazil), Samuel Kainja (Malawi), Mitsuo
Matsumoto (Japan), Maria Jose Sanz Sanchez (Spain), and Zoltan Somogyi (European Commission/Hungary)

7
8
9
10

Contributing Authors
Jim B. Carle (FAO), Indu K. Murthy (India)

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Chapter 4: Forest Land

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Contents

4.1

Introduction

4.2

Forest land remaining Forest land

4.2.1

6
10

Biomass

10

4.2.1.1

Choice of Method

10

4.2.1.2

Choice of emission Factors

13

4.2.1.3

Choice of Activity Data

14

4.2.1.4

Calculation Steps for Tier 1

16

4.2.1.5

Uncertainty Assessment

18

Dead Organic Matter

18

10

4.2.2

11

4.2.2.1

Choice of Method

19

12

4.2.2.2

Choice of Emission/Removal Factors

20

13

4.2.2.3

Choice of Activity Data

20

14

4.2.2.4

Calculation Steps for Tier 1

21

15

4.2.2.5

Uncertainty Assessment

21

Soil Carbon

21

16

4.2.3

17

4.2.3.1

Choice of Method

22

18

4.2.3.2

Choice of Emission Factors

23

19

4.2.3.3

Choice of Activity Data

24

20

4.2.3.4

Calculation Steps for Tier 1

25

21

4.2.3.5

Uncertainty Assessment

25

22

4.2.4 Greenhouse gas emissions from Biomass Burning

26

23

4.2.4.1

Choice of Method

26

24

4.2.4.2

Choice of Emissions Factors

26

25

4.2.4.3

Choice of Activity Data

26

26

4.2.4.4

Uncertainty Assessment

27

27
28

Land Converted to Forest land

4.3
4.3.1

27

Biomass

28

29

4.3.1.1

Choice of Method

28

30

4.3.1.2

Choice of emission factors

30

31

4.3.1.3

Choice of Activity Data

31

32

4.2.1.4

Calculation Steps for Tier 1

32

33

4.3.1.5

Uncertainty Assessment

34

Dead Organic Matter

34

34

4.3.2

35

4.3.2.1

Choice of Method

35

36

4.3.2.2

Choice of Emission/Removal Factors

35

37

4.3.2.3

Choice of Activity Data

35

38

4.3.2.4

Calculation Steps for Tier 1

36

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2

4.3.2.5
4.3.3

Uncertainty Assessment

36

Soil Carbon

36

4.3.3.1

Choice of Method

37

4.3.3.2

Choice of Emission Factors

38

4.3.3.3

Choice of Activity Data

38

4.3.3.4

Calculation Steps for Tier 1

39

4.3.3.5

Uncertainty Assessment

40

Non-CO2 Greenhouse Gas Emissions from biomass burning

40

Completeness, Time Series, QA/QC, and Reporting and documentation

40

8
9

4.3.4
4.4

10

4.4.1

Completeness

40

11

4.4.2

Developing a Consistent Times Series

40

12

4.4.3

Quality Assurance and Quality Control

41

13

4.4.4

Reporting and Documentation

42

14

4.5

Tables

15

Annex 4A.1 Glossary for Forest Land

44
69

16

Figures

17

18
19

Figure 4.1 Global ecological zones, based on observed climate and vegetation patterns
(FAO 2001). Data for geographic information systems available at http://www.fao.org. ...8

20
21
22

Figure 4.2. Global forest and land cover 1995. Original spatial resolution of the forest data is 1 km2
(analysis U.S. Geological Survey (Loveland et al. 2000) and FAO (2001)). Data for
geographic information systems available at http://edc.usgs.gov. .......................................9

23

Tables

24

25
26

Table 4.1 Climate Domains (FAO, 2001), Climate Regions (Chapter 2), and
Ecological Zones (fao 2001) ..............................................................................................44

27

Table 4.2 Forest and land cover classes......................................................................................................45

28

Table 4.3 Carbon fraction of aboveground forest biomass .........................................................................46

29
30

Table 4.4 ratio of below-ground biomass to above-ground biomass (R); tonnes


root dry matter (tonnes shoot dry matter-1) .......................................................................47

31
32

Table 4.5 Default Biomass Conversion and Expansion Factors (BCEF), tonnes biomass
(m3 of wood volume)-1 ....................................................................................................48

33
34

Table 4.5 (continued) Default Biomass Conversion and Expansion Factors (BCEF),
tonnes biomass (m3 of wood volume)-1 ...........................................................................49

35
36

Table 4.5 (continued) Default Biomass Conversion and Expansion Factors (BCEF),
tonnes biomass (m3 of wood volume)-1 ...........................................................................50

37

Table 4.6 Emission factors for drained organic soils in managed forests ...................................................51

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Table 4.7 Above-ground biomass in forests ...............................................................................................52

Table 4.8 Above-ground biomass in forest plantations ..............................................................................53

Table 4.9 Above-ground net biomass growth in natural forests .................................................................55

Table 4.10 Above-ground net biomass growth in tropical and sub-tropical forest plantations...................57

Table 4.11A Above-ground net volume growth of selected forest plantation species................................58

6
7

Table 4.11B Mean annual increment (growth of merchantable volume) for some forest plantation
species................................................................................................................................59

8
9

Table 4.11B (continued) Mean annual increment (growth of merchantable volume) for some forest
plantation species ...............................................................................................................60

10
11

Table 4.12 Tier 1 estimated biomass values from tables 4.74.11 (Except Table 4.11B) (Values are
approximate. Use only for Tier 1)......................................................................................60

12

Table 4.13 Basic wood density (D) of tropical tree species (oven-dry tonnes (moist m-3)).......................61

13
14

Table 4.14 Basic wood density (D) of selected temperate and boreal tree taxa
(oven-dry tonnes (moist m-3)) ...........................................................................................68

15

16

Box

17

Box 4.1 Levels of Detail ...............................................................................................................................7

18

Box 4.2 Biomass Conversion and Expansion Factors for Assessing biomass and carbon in forests..........12

19

Box 4.4 Examples of Good Practice Approach in Identification of Lands Converted to Forest land ........32

20
21
22

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1

4.1 INTRODUCTION

2
3
4
5

This chapter provides methods for estimating greenhouse gas emissions and removals due to changes in biomass,
dead organic matter and soil organic carbon on Forest land and lands converted to Forest land. It builds on the
Revised 1996 IPCC Guidelines for National Greenhouse Gas Inventories (1996 Guidelines) and the Good
Practice Guidance for Land Use, Land-Use Change and Forestry (GPG-LULUCF). The chapter:

6
7

addresses all five carbon pools identified in Chapter 1 and transfers of carbon between different pools within
the same land areas;

8
9
10

includes carbon stock changes on managed forests due to human activities such as establishing and
harvesting plantations, commercial felling, fuelwood gathering and other management practices, in addition
to natural losses caused by fire, windstorms, insects, diseases, and other disturbances;

11
12

provides simple (Tier 1) methods and default values and outline approaches for higher tier methods for the
estimation of carbon stock changes;

13
14

provides methods to estimate non-CO2 greenhouse gas emissions from biomass burning (other non-CO2
emissions such as N2O emissions from soils are covered in Chapter 11);

15
16

should be used together with generic description of methods and equations from Chapter 2, and the
approaches for obtaining consistent area data described in Chapter 3.

17
18
19
20
21

The Guidelines provide methods for estimating and reporting sources and sinks of greenhouse gases only for
managed forests, as defined in Chapter 1. Countries should consistently apply national definitions of managed
forests over time. National definitions should cover all forests subject to human intervention, including the full
range of management practices from protecting forests, raising plantations, promoting natural regeneration,
commercial timber production, non-commercial fuelwood extraction, and abandonment of managed land.

22

This chapter does not include harvested wood products (HWP) which are covered by Chapter 12 of this Volume.

23
24

Managed forest land is partitioned into two sub categories and the guidance and methodologies are given
separately in two sections:

25

Section 4.2 Forest land remaining Forest land

26

Section 4.3 Land converted to Forest land

27
28
29
30
31
32

Section 4.2 covers the methodology that applies to lands that have been Forest land for more than the transition
period required to reach new soil carbon levels (default is 20 years). Section 4.3 applies to lands converted to
Forest land within that transition period. The 20-year interval is taken as a default length of transition period for
carbon stock changes following land-use change. It is good practice to differentiate national forest lands by the
above two categories. The actual length of transition period depends on natural and ecological circumstances of
a particular country or region and may differ from 20 years.

33
34
35

Unmanaged forests, which are brought under management, enter the inventory and should be included in the
land converted to Forest land. Unmanaged forests which are converted to other land uses enter the inventory
under their post conversion land categories with the appropriate transition period for the new land category.

36
37
38

If there are no data on land conversion and the period involved are available, the default assumption is that all
managed forest land belongs to the category Forest land remaining Forest land and greenhouse gas (GHG)
emissions and removals are estimated using guidance given in Section 4.2.

39
40

Relevant carbon pools and non-CO 2 gases


The relevant carbon pools and non-CO2 gases for which methods are provided are given below:

41

Biomass (above ground and below ground biomass)

42

Dead organic matter (dead wood and litter)

43

Soil organic matter

44

Non-CO2 gases (CH4, CO, N2O, NOX)

45
46

The selection of carbon pools or non-CO2 gases for estimation will depend on the significance of the pool and
tier selected for each land-use category.

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1
2
3
4
5
6
7
8

Forest land-use Classification


Greenhouse gas emissions and removals per hectare vary according to site factors, forest or plantation types,
stages of stand development and management practices. It is good practice to stratify Forest land into various
sub categories to reduce the variation in growth rate and other forest parameters and to reduce uncertainty (Box
4.1). As a default, the Guidelines use the most recent ecological zone (Table 4.1, Figure 4.1) and forest cover
(Table 4.2, Figure 4.2) classifications, developed by the Food and Agriculture Organization (FAO, 2001).
National experts should use more detailed classifications for their countries, if available and suitable, given the
other data requirements.

9
10
11

BOX 4.1
LEVELS OF DETAIL

12
13
14
15
16
17
18
19
20
21

Stratification of forest types into homogeneous sub-categories, and if possible at regional or subregional level within a country, reduces the uncertainty of estimates of greenhouse gas emissions
and removals. For simplicity and clarity, this chapter discusses estimation of emissions and
removals at national level and for a relatively small number of subcategories of Forest land. This
level of detail is designed to match the available sources of default input data, carbon contents and
other assumptions. It is important, however, for users of these Guidelines to understand that they
are encouraged to carry out the greenhouse gas emissions inventory calculations at a finer level of
detail, if possible. Many countries have more detailed information available about forests and
land-use change than were used in constructing default values in this Chapter. These data should
be used, if suitable, for the following reasons:

22

1. Geographic detail at regional rather than national level

23
24
25

Experts may find that greenhouse gas estimation for various regions within a country are necessary
to capture important geographic variations in ecosystem types, biomass densities, fractions of
cleared biomass which are burned, etc.

26

2. Finer detail by subcategory

27
28
29

Experts may subdivide the recommended land-use categories and subcategories to reflect
important differences in climate, ecology or species, forest types, land-use or forestry practices,
fuelwood gathering patterns, etc.

30
31
32
33
34
35
36
37

In all cases, working at finer levels of disaggregation does not change the basic nature of the
method of estimations, although additional data and assumptions will generally be required beyond
the defaults provided in this Chapter. Once greenhouse gas emissions are estimated, using the
most appropriate level of detail determined by the national experts, results should also be
aggregated up to the national level and the standard categories requested in these Guidelines. This
will allow for comparability of results among all participating countries. Generally, the data and
assumptions used for finer levels of detail should also be reported to ensure transparency and
repeatability of methods.

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41
42
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44

Terminology
The terminology used in the methods for estimating biomass stocks and changes need to be consistent with the
terminologies and definitions used by the Food and Agriculture Organization (FAO). FAO is the main source of
activity data and emission factors for forest and other land-use categories in Tier 1 level calculations. Examples
of terminology from FAO are: biomass growth, mean annual increment, biomass loss, and wood-removal. The
Glossary in Annex 4A.1 includes definitions of these terminologies.

45

Draft 2006 IPCC Guidelines for National Greenhouse Gas Inventories

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Figure 4.1 Global ecological zones, based on observed climate and vegetation patterns (FAO
2001). Data for geographic information systems available at http://www.fao.org.

3
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5

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Chapter 4: Forest Land

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Figure 4.2. Global forest and land cover 1995. Original spatial resolution of the forest data is 1
km 2 (analysis U.S. Geological Survey (Loveland et al. 2000) and FAO (2001)). Data for
geographic information systems available at http://edc.usgs.gov.

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Draft 2006 IPCC Guidelines for National Greenhouse Gas Inventories

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4.2 FOREST LAND REMAINING FOREST LAND

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This section deals with managed forests that have been under Forest land for over 20 years (default), or for over
a country-specific transition period. Greenhouse gas inventory for Forest land Remaining Forest land (FF)
involves estimation of changes in carbon stock from five carbon pools (i.e. above-ground biomass, belowground biomass, dead wood, litter, and soil organic matter), as well as emissions of non-CO2 gases. Methods for
estimating greenhouse gas emissions and removals for lands converted to Forest land in the past 20 years (e.g.
from Cropland and Grassland) are presented in Section 4.3. The set of general equations to estimate the annual
carbon stock changes on Forest land are given in Chapter 2.

4.2.1

Biomass

10
11
12
13

This section presents methods for estimating biomass gains and losses. Gains include total (above-ground and
below-ground) biomass growth. Losses are roundwood removal/harvest, fuelwood removal/harvest/gathering,
and losses from disturbances by fire, insects, diseases and other disturbances. When such losses occur, belowground biomass is also reduced and transformed to dead organic matter (DOM).

14

4.2.1.1

15
16
17

Chapter 2 describes two methods, namely, Gain-Loss Method based on estimates of annual change in biomass
from estimates of biomass gain and loss (Equation 2.7) and a Stock-Difference Method which estimates the
difference in total biomass carbon stock at time t2 and time t1 (Equation 2.8).

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30

The biomass gain-loss method is applicable for all tiers although the stock-difference method is more suited to
Tiers 2 and 3. This is because, in general, the stock-difference method will provide more reliable estimates for
relatively large increases or decreases of biomass or where very accurate forest inventories are carried out. For
areas with a mix of stands of different forest types, and/or where biomass change is very small compared to the
total amount of biomass, the inventory error under the stock-difference method may be larger than the expected
change. Unless periodic inventories give estimates on stocks of dead organic matter, in addition to growing stock,
one should be aware that other data on mortality and losses will still be required for estimating the transfer to
dead organic matter, harvested wood products and emissions caused by disturbances. Subsequent inventories
must also allow identical area coverage in order to get reliable results when using the stock-difference method.
The choice of using gain-loss or stock-difference method at the appropriate tier level will therefore be a matter of
expert judgment, taking into account the national inventory systems, availability of data and information from
ecological surveys, forest ownership patterns, activity data, conversion and expansion factors as well as costbenefit analysis.

31
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33

The decision tree as shown in Figure 1.2 in Chapter 1 should be used to guide choice between the Tiers. This
promotes efficient use of available resources, taking into account whether the biomass of this category is a
significant carbon pool or a key category as described in Volume 1 Chapter 4.

34
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36
37
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Tier-1 Method (Biomass Gain-Loss Method): Tier 1 is feasible even when country-specific estimates of
activity data and emission/removal factors are not available, and works when changes of the carbon pool in
biomass on Forest land remaining Forest land are relatively small. The method requires the biomass carbon loss
to be subtracted from the biomass carbon gain (Equation 2.7). The annual change in carbon stocks in biomass
can be estimated using the gain-loss method, where the annual increase in carbon stocks due to biomass growth
and annual decrease in carbon stocks due to biomass losses are estimated.

C HOICE

OF

M ETHOD

40
41

The annual increase in biomass carbon stock is estimated using Equation 2.9, where area under each
forest sub-category is multiplied by mean annual increment in tonnes of dry matter per hectare per year.

42
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45

Since the biomass growth is usually in terms of merchantable volume or above ground biomass, the
below ground biomass is estimated with a root biomass to above-ground biomass ratio (Equation 2.10).
Alternatively, merchantable volume (m3) can be converted directly to total biomass using biomass
conversion and expansion factors (BCEFI), (Equation 2.10).

46
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The average above-ground biomass of forest areas affected by disturbances are given in Tables 4.7 and
4.8; net average annual above-ground biomass growth values are provided in Tables 4.9, 4.10, and 4.12;
net volume annual increment values are provided in Table 4.11; wood density is given in Tables 4.13
and 4.14 and root biomass to above-ground biomass ratios are given in Table 4.4. Refer to Box 4.2 for
detailed explanation on how to convert and expand volumes of growing stock, increment and wood
removals to biomass.

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Chapter 4: Forest Land

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In some ecosystems, basic wood density (D) can influence spatial patterns of forest biomass (Baker et
al., 2004b). Tier 1 users who do not have measurements of wood density at the desired sub-strata level
can estimate wood density by estimating the proportion of total forest biomass contributed by the 2-3
dominant species and using species-specific wood density values (Tables 4.13 and 4.14) to calculate a
weighted average wood density value.

6
7
8
9
10

Annual biomass loss or decrease in biomass carbon stocks is estimated using Equation 2.11, which
requires estimates of annual carbon loss due to wood removals (Equation 2.12), fuelwood gathering
(Equation 2.13) and disturbance (Equation 2.14). Transfer of biomass to dead organic matter is
estimated using Equation 2.20, based on estimates of annual biomass carbon lost due to mortality
(Equation 2.21), annual carbon transfer to slash (Equation 2.22).

11

Biomass estimates are converted to carbon values using carbon fraction of dry matter (Table 4.3).

12
13
14
15

When either the biomass stock or its change in a category (or sub-category) is significant or a key category, then
it is good practice to select a higher tier methodology for estimation. The choice of Tier 2 or 3 method depends
on the types and accuracy of data and models available, level of spatial disaggregation of activity data and
national circumstances.

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22
23

If using activity data collected via Approach 1 (see Chapter 3), and it is not possible to use supplementary data
identify the amount of land converted from and to Forest land, then the inventory compiler should estimate C
stocks in biomass on all Forest lands using the Tier 1 method described above for Forest land remaining Forest
land. If the area of forest is expanding, the forest area to use in the equations should be the average area
estimated for the year for which the inventory is being prepared less ten times the area being added every year1.
If the forest is area is falling because of conversion to other land uses,! the area to use is the area estimated for
the end of the year (the smaller area), and the reduction of forest carbon stocks due to conversion will be
accounted for through the loss terms.

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Tier 2: Tier 2 can be used in countries where country-specific estimates of activity data and emission/removal
factors are available or can be gathered at reasonable cost. Tier 2 uses the Equations 2.7 to 2.14 (excluding
Equation 2.8) as in the case of Tier 1. Species-specific wood density values (Tables 4.13 and 4.14) permit the
calculation of biomass from species-specific forest inventory data. It is possible to use the stock-difference
method (Equation 2.8) at Tier 2 where the necessary country-specific data are available

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Tier 3: Tier 3 approach for biomass carbon stock change estimation allows for a variety of methods, including
process based models. Implementation may differ from one country to another, due to differences in inventory
methods, forest conditions and activity data. Transparent documentation of the validity and completeness of the
data, assumptions, equations and models used is therefore a critical issue at Tier 3. Tier 3 requires use of detailed
national forest inventories when the stock-difference method is used (Equation 2.8). They may be supplemented
by allometric equations and models (for example, Chambers et al. (2001) and Baker et al. (2004a) for the
Amazon, Jenkins et al. (2004) and Kurz and Apps (in press) for North America, and Zianis et al. (2005) for
Europe), calibrated to national circumstances that allow for direct estimation of biomass growth.

38

The subtraction is to adjust for the lower increments in the immature forests in the areas added, assuming the 20 year
default conversion period. For other conversion periods, the area subtracted should be half the conversion period times the
area being added every year. If the area added is varying over time, use the average area over the conversion period. In all
cases the full area of forest for the inventory year should be used for the area cross checks outlined in Chapter 3.

Draft 2006 IPCC Guidelines for National Greenhouse Gas Inventories

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BOX 4.2
BIOMASS CONVERSION AND EXPANSION FACTORS FOR ASSESSING BIOMASS AND CARBON IN FORESTS2

3
4
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6

Forest inventories and operational records usually document growing stock, net annual increment
or wood removals in m3 of merchantable volume. This excludes non-merchantable above-ground
components such as tree tops, branches, twigs, foliage, sometimes stumps, and, below-ground,
roots.

7
8
9
10

Assessments of biomass and carbon stocks and changes, on the other hand, focus on total biomass,
biomass growth and biomass removals (harvest), including non-merchantable components,
expressed in tons of dry-weight. Several methods may be used to derive forest biomass and its
changes. Above-ground biomass and changes can be derived in two ways namely:

11
12
13

(i) directly by measuring sample tree attributes in the field, such as diameters and heights, and
applying, species-specific allometric equations or biomass tables based on these equations once or
periodically.

14
15

(ii) indirectly by transforming available volume data from forest inventories, e.g. merchantable
volume of growing stock, net annual increment or wood removals (Somogyi et al. 2006).

16
17
18
19

The latter approach may achieve the transformation by applying biomass regression functions,
which usually express biomass of species or species groups (t/ha) or its rate of change, directly as a
function of growing stock density (m3/ha), and age, eco-regions or other variables (Pan et.al.,
2004).

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More commonly than these biomass regression functions, a single, discrete transformation factors3
is applied to merchantable volume to derive above-ground biomass and its changes:

22
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26

(i) Biomass Expansion Factors (BEF) expand the dry weight4 of the merchantable volume of
growing stock, net annual increment or wood removals to account for non-merchantable
components of the tree, stand and forest. Before applying such BEFs, merchantable volume (m3)
must be converted to dry-weight (tonne) by multiplying with a conversion factor known as basic
wood density (D) in (t/m3). BEFs are dimensionless since they convert between units of weight.

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This method gives best results, when the BEFs have actually been determined based on dry
weights, and when locally applicable basic wood densities are well known.

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32

(ii) Biomass Conversion and Expansion Factors (BCEF) combine conversion and expansion.
They have the dimension (t/m3) and transform in one single multiplication growing stock, net
annual increment or wood removals (m3) directly into above-ground biomass, above-ground
biomass growth or biomass removals (t).

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35

BCEF are more convenient; they can be applied directly to volume-based forest inventory data and
operational records, without the need of having to resort to basic wood densities. They provide
best results, when they have been derived locally, based directly on merchantable volume.

36

Mathematically, BCEF and BEF are related by:

37

BCEF = BEF * D

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42
43

Application of this equation requires caution because basic wood density and biomass expansion
factors tend to be correlated. If the same sample of trees was used to determine D, BEF or BCEF,
conversion will not introduce error. If, however, basic wood density is not known with certainty,
transforming one into the other might introduce error, as BCEF implies a specific but unknown
basic wood density. Ideally, all conversion and expansion factors would be derived or their
applicability checked locally.

Please see glossary for definitions of terms

While these transformation factors are usually applied in discrete form, they can also be expressed and depicted
as continuous functions of growing stock density, age or other variables.

In some applications, biomass expansion factors expand dry-weight of merchantable components to total
biomass, including roots, or expand merchantable volume to above-ground or total biomass volume (Somogyi
et.al., 2006). As used in this document, biomass expansion factors always transform dry-weight of merchantable
volume including bark to above-ground biomass, excluding roots.

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Chapter 4: Forest Land

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Both BEF and BCEF tend to decrease as a function of stand age, as growing stock density (volume
of growing stock per ha) increases. This is because of the increasing ratio of merchantable volume
to total volume. The decrease is rapid at low growing stock densities or for young stands and levels
out for older stands and higher stand densities.

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The GPG-LULUCF provided only average default BEF values, together with wide ranges, and
general guidance on how to select applicable values for specific countries from these ranges. To
facilitate selection of more reliable default values, this document provides default factors as a
function of growing stock density in Table 4.5. Since more comprehensive and more recent data
were found in the literature, Table 4.5 contains BCEF defaults only. Countries that possess
country-specific basic wood densities and BEF on a consistent basis may apply them to calculate
country-specific BCEF using the formula given above.

12
13

BCEF or BEF that apply to growing stock and net annual increment are different. In this
document, the following symbols are used:

14
15

BCEFS: biomass conversion and expansion factor applicable to growing stock; transforms
merchantable volume of growing stock into above-ground biomass.

16
17

BCEFI: biomass conversion and expansion factor applicable to net annual increment; transforms
merchantable volume of net annual increment into above-ground biomass growth.

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23

BCEFR: biomass conversion and expansion factors applicable to wood removals; transforms
merchantable biomass to total biomass (including bark). BCEFR and BEFR for wood and fuelwood
removal will be larger than that for growing stock due to harvest loss (see Annex 4A.1 Glossary).
If a country specific value for harvest loss is not known, defaults are 10% for hardwoods and 8%
for conifers (Kramer and Akca, 1982). Default conversion and expansion factors for wood
removals can be derived by dividing BCEFS by (10.08) for conifers and (1-0.1) for broadleaves.

24
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27

It is good practice to estimate growing stock biomass, above-ground biomass growth and aboveground biomass removals by strata, document these strata, and aggregate results ex post. Methods
described above will yield above-ground biomass and its changes. Results must be expanded to
total biomass via applicable root biomass to above-ground biomass ratios.

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29

4.2.1.2

C HOICE

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31
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33

The Gain-Loss Method requires the above-ground biomass growth, BCEF (biomass conversion and expansion
factor), BEF, and/or basic wood densities according to each forest type and climatic zone in the country, plus
emission factors related to biomass loss, including losses due to wood removals, fuelwood removals and
disturbances.

34

Annua l b ioma ss ca rbon ga in, C G

35
36
37
38

M ean A bove-gro und Bioma s s Growt h ( Increment), G W


Tier 1: Default values of the above-ground biomass growth (GW) which are provided in Tables 4.9, 4.10 and
4.12 can be used at Tier 1. If available, it is good practice to use other regional default values for different forest
types more relevant to the country.

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43

Tier 2: Tier 2 method uses more country-specific data to calculate the above-ground biomass growth, GW from
country-specific net annual increment of growing stock (IV). Tables 4.11a and 4.11b provide default values for
IV. Combined default biomass conversion and expansion factor (BCEFI) of Iv are provided in Table 4.5. Separate
data on biomass expansion factor for increment (BEFincrement) and basic wood density (D) can also be used to
convert the available data to GW. Table 4.13 and 4.14 provide default values for basic wood density.

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Tier 3: Under Tier 3, process based estimation will have access to detailed forest inventory or monitoring
system with data on growing stock and past and projected net annual increment and functions relating to
growing stock or net annual increment directly to biomass and biomass growth. It is also possible to derive net
annual increment by process simulation. Specific carbon fraction and basic wood density should also be
incorporated.

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52

Forest inventories usually provide conditions of forest growing stock and net annual increment in the year of the
inventory. When the year of inventory does not coincide with the year of reporting, interpolated or extrapolated
net annual increment or increment estimated by models (i.e. model capable of simulating forest dynamics),
should be used along with data on harvesting and disturbances to update inventory data to the year of interest.

OF EMISSION

F ACTORS

Draft 2006 IPCC Guidelines for National Greenhouse Gas Inventories

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Below-ground biomass growth (increment)

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Tier 1: Below-ground carbon stock changes, as a default assumption consistent with the Guidelines, can be
zero. Alternatively, default values for below-ground biomass to above-ground biomass ratios (R) are to be used
to estimate below-ground biomass growth, and are provided in Table 4.4. Strictly, these ratios of below-ground
biomass to above-ground biomass are only valid for stocks, but no appreciable error is likely to obtain if they are
applied to above-ground biomass growth over short periods.

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8

Tier 2: Country-specific below-ground biomass to above-ground biomass ratios should be used to estimate
below-ground biomass for different forest types.

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Tier 3: For preference, below-ground biomass should be directly incorporated in models for calculating total
biomass increment and losses. Alternatively, nationally or regionally determined below-ground biomass to
above-ground biomass ratios or regression models (e.g. Li et al. 2003) may be used.

12

An nua l carbon los s in b ioma ss , C L

13
14
15
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18

Bioma ss loss due to wood remova ls , L w o o d - r e m o v a l s and L f u e l w o o d


When computing carbon loss through biomass removals, the following factors are needed: Wood removal (H),
fuelwood removal as trees or parts of trees (FG), basic wood density (D), below-ground biomass to aboveground biomass ratio (R), carbon fraction (CF), BCEF for wood removals. While all wood removals represent a
loss for the forest biomass pool, Chapter 12 provides guidance for estimating annual change in carbon stocks in
harvested wood products.

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22
23

D i stu rban ce s, L d i s t u r b a n c e
The estimate of other losses of carbon requires data on areas affected by disturbances (A disturbance) and the
biomass of these forest areas (BW). Above ground biomass estimates of forest types affected by disturbance are
required, along with below-ground biomass to above-ground biomass ratio and fraction of biomass lost in
disturbance.

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Chapter 2, Tables 2.4, 2.5 and 2.6 provide fuel biomass consumption values, emission factors, and combustion
factors needed for estimating proportion of biomass lost in fires and proportion to be transferred to dead organic
matter under higher tiers.

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Tier 1: The average biomass varies with the forest types and management practices. The default values are
given in Tables 4.9 and 4.10. In the case of fire, both CO2 and non-CO2 emissions occur from combusted fuels of
above-ground biomass including understory. Fire may consume a high proportion of understory vegetation. In
the case of other disturbances, a fraction of above ground biomass is transferred to dead organic matter and
under Tier 1, all biomass in area subjected to disturbance is assumed to be emitted in the year of disturbance.

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Tier 2: Under Tier 2, biomass changes due to disturbances will be taken into account by forest category, type of
disturbance and intensity. Average values for biomass are obtained from country-specific data.

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35

Tier 3: In addition to calculating losses similar to Tier 2, Tier 3 can also adopt models, which typically employ
spatially referenced or spatially explicit information on the year and type of disturbance.

36

4.2.1.3

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39

Area of manag ed Fo rest land


All tiers require information on areas of managed Forest land according to different forest types, climate,
management systems and regions.

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46

Tier 1: Tier 1 uses data of forest area which can be obtained through national statistics, from forest agencies
(which may have information on areas of different management practices), conservation agencies (especially for
areas managed for natural regeneration), municipalities, survey and mapping agencies. Cross-checks should be
made to ensure complete and consistent representation for avoiding omissions or double counting as specified in
Chapter 3. If no country data are available, aggregate information can be obtained from international data
sources (FAO, 1995; FAO 2001, TBFRA, 2000). It is good practice to verify, validate, and update the FAO data
using national sources.

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49

Tier 2: Tier 2 uses country-defined national data sets, according to different forest types, climate, management
systems and regions, with a resolution sufficient to ensure appropriate representation of land areas in line with
provisions of Chapter 3 of this report. Approach 2 of Chapter 3 is relevant for Tier 2.

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52

Tier 3: Tier 3 uses country-specific data on managed Forest lands from different sources, notably national forest
inventories, registers of land use and land-use changes, or remote sensing. These data should give a full
accounting of all land-use transitions to Forest land and disaggregate along climate, soil and vegetation types.

4.14

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OF

A CTIVITY D ATA

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Chapter 4: Forest Land

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Geo-referenced area under different forest types may be used to track changes in area under different land-use
types, using Approach 3 of Chapter 3.

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11

Wood Remova ls
The inventory requires data on wood removals, including fuelwood removals and biomass losses due to
disturbances in order to calculate biomass stock changes and carbon pool transfers. In addition to wood removals
for industrial purposes, there may also be wood removals for small scale processing or direct sales to consumers
from land owners. This quantity may not be included in official statistics and may need to be estimated by
survey. Fuelwood from branches and tops of felled trees must be subtracted from transfers to the dead wood
pool. Salvage of wood from areas affected by disturbances must also be subtracted from biomass, to ensure that
no double counting occurs in Tier 1 inventories in which the biomass in areas affected by disturbances is already
assumed released to the atmosphere.

12
13
14

In using production statistics, users must pay careful attention to the units involved. It is important to check
whether the information in the original data is reported in biomass, volumes underbark or overbark to ensure that
expansion factors are used only where appropriate and in a consistent way.

15
16
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19
20

Unless restricted to Approach 1 land representation without supplementary data, so that all forest land is counted
under Forest land remaining Forest land, wood removals from Forest land being converted to another land use
should not be included in losses reported for Forest land remaining Forest land since these losses are reported in
the new land-use category. If the statistics on wood removals do not provide stratification on lands, then an
amount of biomass approximating the biomass loss from lands converted from Forest land should be subtracted
from the total wood removals.

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22
23
24

Extraction of roundwood is published in the UNECE/FAO Timber Bulletin and by FAO Yearbook of Forest
Products. The latter is based primarily on data provided by the countries. In the absence of official data, FAO
provides an estimate based on the best information available. Usually, the FAO yearbook appears with a twoyear time lag.

25
26
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28

Tier 1: FAO data can be used as a Tier 1 default for H in Equation 2.12 in Chapter 2. The roundwood data
include all wood removed from forests which are reported in cubic meters underbark. The underbark data need
conversion to overbark before using BCEFH. Conversion from underbark to overbark volumes is done by using
bark percentages.

29

Tier 2: Country-specific data should be used.

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31

Tier 3: Country-specific wood removals data from different forest categories should be used at the spatial
resolution chosen for reporting

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38

F ue lwoo d re mova l
Estimation of carbon losses due to fuelwood removal requires annual volume of fuelwood removed (FG) and
basic wood density (D). Fuelwood is produced in different ways in countries and varies from ordinary timber
harvesting, to using parts of trees, to gathering of dead wood. Fuelwood constitutes the largest component of
biomass loss for many countries, thus reliable estimates are needed for such countries. . If possible, fuelwood
removal from Forest land remaining Forest land and that coming from Forest land conversion to other uses
should be separated.

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Tier 1: FAO provides statistics on fuelwood and charcoal removals for all countries. FAO statistics are based
on what is provided by the concerned ministries/ departments in the countries and in some cases may not account
fully for the entire fuelwood and charcoal removal due to the limitations of national data collection and reporting
systems. Thus, under Tier 1, FAO statistics can be used directly but should be checked for completeness by the
national source of data for the FAO such as the Ministry of Forests or Agriculture or any statistical organization.
FAO or any national estimates should be supplemented from regional surveys or local studies on fuelwood
consumption, since fuelwood is collected from multiple sources; forests, timber processing residues, farms,
homesteads, village commons, etc. If more complete information is available nationally, it should be used.

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Tier 2: Country-specific data should be used, if available. Regional surveys of fuelwood removals can be used
to verify and supplement the national or FAO data source. At the national level, aggregate fuelwood removals
can be estimated by conducting regional level surveys of rural and urban households at different income levels,
industries and establishments.

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Tier 3: Fuelwood removals data from national level studies should be used at the resolution required for the
Tier 3 model, including the non-commercial fuelwood removals. Fuelwood removal should be linked to forest
types and regions.

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56

Different methods of fuelwood removal from Forest land remaining Forest land should be accounted at regional
or disaggregated level through surveys. The source of fuelwood should be identified to ensure that no double
counting occurs.

Draft 2006 IPCC Guidelines for National Greenhouse Gas Inventories

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D isturba nces
A database on rate and impact of natural disturbances by type, for all European countries (Schelhaas et al., 2001),
can be found at: http://www.efi.fi/projects/dfde

4
5

A UNEP database on global


earlywarning/preview/ims/gba/

6
7
8
9

However, one should note that the UNEP database is only valid for year 2000. In many countries inter-annual
variability in burned area is large, so these figures will not provide a representative average. Many countries
maintain their own disturbance statistics e.g., Stocks et al. (2002) which can be employed in Tier 2 or Tier 3
approaches (Kurz and Apps, in press).

10

burnt

area

can

be

found

at:

http://www.grid.unep.ch/activities/

The FRA2005 (FAO, 2005) should also be examined for data on disturbances.

11
12

4.2.1.4

C ALCULATION S TEPS

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T he fo llo wing s umma r iz e s s tep s for e s tima ting cha nge in c arbo n s to ck s in bio mas s ( C B )
u s ing t he d e f a u l t me t ho d s

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Step 1: Using guidance from Chapter 3 (approaches in representing land areas), categorise the area (A) of
Forest land remaining Forest land into forest types of different climatic or ecological zones, as adopted by the
country. As a point of reference, Annex 3A.1 of GPG-LULUCF (IPCC, 2003) provides national- level data of
forest area and annual change in forest area by region and by country as a means of comparison. Alternatively
FAO also periodically provides area data;

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Step 2: Estimate the annual biomass gain in Forest land remaining Forest land (CG) using estimates of area and
biomass growth, for each forest type and climatic zone in the country available using Equations 2.9 and 2.10 in
Chapter 2;

24

Step 3: Estimate the annual carbon loss due to wood removals (Lremovals) using Equation 2.12 in Chapter 2;

25

Step 4: Estimate annual carbon loss due to fuelwood removal (Lfuelwood) using Equation 2.13 in Chapter 2;

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27

Step 5: Estimate annual carbon loss due to disturbance (Ldisturbance) using Equation 2.14 in Chapter 2, avoid
double counting of losses already covered in wood removals and fuelwood removals;

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Step 6: From the estimated losses in Steps 3 to 5, estimate the annual decrease in carbon stocks due to biomass
losses (CL) using Equation 2.11 in Chapter 2;

30

Step 7: Estimate the annual change in carbon stocks in biomass (CB) using Equation 2.7 in Chapter 2.

FOR

T IER 1

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Example. The following example shows Gain-Loss Method (Tier 1) calculations of annual change
in carbon stocks in biomass (CB), using Chapter 2 Equation 2.7 (CB = (CG CL), for a
hypothetical country in temperate continental forest zone of Europe (Table 4.1, Section 4.5).

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The area of Forest land remaining Forest land (A) within the country is 100,000 ha (see
Chapter 3 for area categorization).

37

It is a 25-year-old pine forest, average above-ground growing stock volume is 50 m3 ha-1.

38

The merchantable round wood harvest over bark (H) is 1,000 m3 yr-1;

39

whole trees fuel wood removal (FGtrees) is 500 m3 yr-1;

40

area of insect disturbance is 2,000 ha yr-1 with above-ground biomass affected 4.0 t dm ha-1.

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Annual gain in biomass (CG) is a product of mean annual biomass increment (GTOTAL), area of

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land (A) and carbon fraction of dry matter (CF), Equation 2.9 (CG = ij (A GTOTAL CF),
Chapter 2. GTOTAL is calculated using Chapter 2 Equation 2.10 for given values of annual aboveground biomass growth (GW), below-ground biomass to above-ground biomass ratio (R), and
default data tables in Section 4.5.

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For the hypothetical country,

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- GW = 4.0 t dm-1 yr-1 (Table 4.9)

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- R = 0.29 t dm t-1 dm-1 for above-ground biomass 50 to 150 t ha-1 (Table 4.4 with reference to
Table 4.7 for above ground biomass);

- GTOTAL = 4.0 t dm ha-1 yr-1 (1 + 0.29) = 5.16 t dm ha-1 yr-1 (Equation 2.10).

- CF = 0.47 t C t-1 dm-1 (Table 4.3).

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Consequently, (Equation 2.9): CG = 100,000 ha 5.16 t dm ha-1 yr-1 0.47 t C t-1 dm-1 = 242,520
t C yr-1.

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Biomass loss (CL) is a sum of annual loss due to wood removals (Lremovals), fuel wood gathering
(Lfuelwood) and disturbances (Ldisturbance), Equation 2.11 in Chapter 2.

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Wood removal (Lremovals) is calculated with Equation 2.12, Chapter 2, merchantable round wood
over bark (H), biomass conversion expansion factor (BCEFR), bark fraction in harvested wood
(BF), root biomass to above-ground biomass ratio (R), carbon fraction of dry matter (CF) and
default tables, Section 4.5.

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For the hypothetical country,

15

- BCEFR = 1.11 t dm m-3 (Table 4.5 with reference to growing stock volume 50 m3 ha-1).

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- BF = 0.1 t dm t-1 dm-1. R = 0.29 t dm t-1 dm-1 for above-ground biomass 50 to 150 t ha-1 (Table
4.4, for above-ground biomass refer to Table 4.7).

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- CF = 0.47 t C t-1 dm-1 (Table 4.3).

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Lremovals = 1,000 m3 yr-1 1.11 t dm m-3 (1 + 0.29 + 0.1) 0.47 t C t-1 dm-1 = 725.16 t C yr-1
(Equation 2.12).

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Fuelwood removal (Lfuelwood) is calculated using Equation 2.13, Chapter 2, wood removals as
whole trees (FGtrees), biomass conversion expansion factor (BCEFR), root biomass to above-ground
biomass ratio (R), carbon fraction of dry matter (CF) and default tables in Section 4.5. For the
hypothetical country,

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- BCEFR = 1.11 t dm m-3 (Table 4.5 with reference to growing stock volume 50 m3 ha-1)

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- R = 0.29 t dm t-1 dm-1 for above-ground biomass 50 to 150 t ha-1 (Table 4.4, for above-ground
biomass refer to Table 4.7).

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CF = 0.47 t C t-1 dm-1 (Table 4.3).

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Lfuelwood = 500 m3 yr-1 0.75 t dm m-3 (1 + 0.29) 0.47 t C t-1 dm-1 = 336.50 t C yr-1 (Equation
2.13).

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Annual carbon loss in biomass due to disturbances (Ldisturbance) is calculated using Equation
2.14, Chapter 2, area of disturbances (Adisturbance), average above-ground biomass affected (BW),
root biomass to above-ground biomass ratio (R), carbon fraction of dry matter (CF), fraction of
biomass lost in disturbance (fd) and default tables in Section 4.5. For the hypothetical country,

35

- fd = 0.3;

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- R = 0.29 t dm t-1 dm-1 for above-ground biomass 50 to 150 t ha-1 (Table 4.4, for above-ground
biomass refer to Table 4.7).

38

- CF = 0.47 t C t-1 dm-1 (Table 4.3).

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Ldisturbance = 2,000 ha yr-1 4.0 t dm ha-1 (1 + 0.29) 0.47 t C t-1 dm-1 0.3= 1,455.12 t C yr-1
(Equation 2.14).

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CL = 725.16 t C yr-1 + 336.50 t C yr-1 + 1,455.12 t C yr-1 = 2,516.78 t C yr-1 (Equation 2.11).

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Annual change in carbon stocks in biomass (CB)

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Using Chapter 2 Equation 2.7 (CB = (CG CL),

44

CB = 242,520 t C yr-1 - 2,516.78 t C yr-1 = 240,003.22 t C yr-1

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4.2.1.5

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This section considers source-specific uncertainties relevant to inventory estimates made for Forest land
remaining forest. Estimating country-specific and/or disaggregated values requires more accurate information on
uncertainties than given below. Volume 1 Chapter 3 provides information on uncertainties associated with
sample-based studies. The literature available on uncertainty estimates on emission factors and activity data is
limited.

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Emission and remo va l fa ctors


FAO (in press) provides uncertainty estimates for forest carbon factors; basic wood density (10 to 40%); annual
increment in managed forests of industrialized countries (6 %); growing stock (industrialized countries 8%, nonindustrialized countries 30%); combined natural losses for industrialized countries (15%); wood and fuelwood
removals (industrialized countries 20%).

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In Finland, the uncertainty of basic wood density of pine, spruce and birch trees is under 20% in studies of
Hakkila (1968, 1979). The variability between forest stands of the same species should be lower or at most the
same as for individual trees of the same species. In Finland, the uncertainty of biomass expansion factors for
pine, spruce, and birch was approximately 10% (Lehtonen et al. 2003).

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In eight Amazon tropical forest inventory plots, combined measurement errors led to errors of 10-30% in
estimates of basal area change over periods of less than 10 years (Phillips et al. 2002).

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The major sources of uncertainty of wood density and biomass expansion factors are stand age, species
composition, and structure. To reduce uncertainty, countries are encouraged to develop country- or regionspecific biomass expansion factors and BCEFs that fit their conditions. In case country- or regional-specific
values are unavailable, the sources of default parameters should be checked and their correspondence with
specific conditions of a country should be examined.

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The causes of variation of annual increment include climate, site growth conditions, and soil fertility. Artificially
regenerated and managed stands are less variable than natural forests. The major ways to improve accuracy of
estimates are associated with application of country-specific or regional increment stratified by forest type. If the
default values of increment are used, the uncertainty of estimates should be clearly indicated and documented.
Tier 3 approaches can use growth curves stratified by species, ecological zones, site productivity and
management intensity. Similar approaches are routinely used in timber supply planning models and this
information can be incorporated into carbon accounting models (e.g. Kurz et al. 2002).

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Data on commercial fellings are relatively accurate, although they may be incomplete or biased due to illegal
fellings and underreporting due to tax regulations. Traditional wood that is gathered and used directly, without
being sold, is not likely to be included in any statistics. Countries must carefully consider these issues. The
amount of wood removed from forests after storm breaks and pest outbreaks varies both in time and volume. No
default data can be provided on these type of losses. The uncertainties associated with these losses can be
estimated from the amount of damaged wood directly withdrawn from the forest or using data on damaged wood
subsequently used for commercial and other purposes. If fuelwood gathering is treated separately from fellings,
the relevant uncertainties might be high, due to high uncertainty associated with traditional gathering.

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Activity da ta
Area data should be obtained using the guidance in Chapter 3 or from FAO (2000). Industrialized countries
estimated an uncertainty in forest area estimates of approximately 3% (FAO 200). Among non-industrialized
countries, only 25% reported forest area by expert judgment or based on very small-scale mapping only and the
remainder applied more accurate methods such as large-scale mapping and field sampling (FAO 200).

43

4.2.2

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The general description of methods for estimating changes in carbon stocks in dead organic matter (DOM) pools
(litter and dead wood) has been provided in Chapter 2.

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This section focuses on methods for estimating carbon stock changes in dead organic matter pools for Forest
land remaining Forest land. Tier 1 methods assume that the net carbon stock changes in DOM pools are zero
because the simple input and output equations used in Tier 1 methods are not suitable to capture the DOM pool
dynamics. Countries that want to quantify DOM dynamics need to develop Tier 2 or 3 methodologies. The
countries where DOM is a key category should adopt higher tiers and estimate DOM changes.

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The dead wood (DW) pool contains carbon in coarse woody debris, dead coarse roots, standing dead trees, and
other dead material not included in the litter or soil carbon pools. Estimating the size and dynamics of the dead
wood pool poses many practical limitations, particularly related to field measurements. The uncertainties

4.18

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associated with estimates of the rate of transfer from the DOM pool to the litter and soil pools, and emissions to
the atmosphere are generally high. The amount of dead wood is highly variable between stands, both in managed
(Duvall and Grigal, 1999; Chojnacky and Heath, 2002) and unmanaged lands (Spies et al., 1988). Amounts of
dead wood depend on the time since last disturbance, the type of the last disturbance, losses during disturbances,
the amount of biomass input (mortality) at the time of the disturbance (Spies et al. 1988), natural mortality rates,
decay rates, and management (Harmon et al. 1986).

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Net litter accumulation rates can be estimated using the stock-difference method or the gain-loss method. The
latter requires an estimate of the balance of the annual amount of litterfall (which includes all leaves, twigs and
small branches, fruits, flowers, roots, and bark) minus the annual rate of litter decomposition. In addition,
disturbances can add and remove carbon from the litter pool, influencing the size and composition of the litter
pool. The litter dynamics during the early stages of stand development depend on the type and intensity of the
last disturbance. Where disturbance has transferred biomass to DOM pools (e.g. wind-throw or insect kill), litter
pools are decreasing until losses are compensated by litter inputs. Where disturbance has removed litter (e.g.
wildfire), litter pools can be increasing in the early stages of stand development if litter input exceeds decay.
Management such as timber harvesting, slash burning, and site preparation alter litter properties (Fisher and
Binkley, 2000), but there are few studies clearly documenting the effects of management on litter carbon (Smith
and Heath, 2002).

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4.2.2.1

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The decision tree in Figure 1.2 in Chapter 1 provides guidance in the selection of the appropriate tier level for
the implementation of estimation procedures. The choice of method is described jointly for dead wood and Litter
since the equations are identical for both, but the estimates are calculated separately for each of the two pools.

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The estimation of changes in carbon stocks in DOM pool requires estimates of changes in carbon stocks of dead
wood and litter pools (refer to Equation 2.17 of Chapter 2).

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Tier 1: The Tier 1 method assumes that the dead wood and litter carbon stocks are in equilibrium so that the
changes in carbon stock in the DOM pools are assumed to be zero. Countries experiencing significant changes in
forest types, disturbance or management regimes in their forests are encouraged to develop domestic data to
quantify the impacts from these changes using Tier 2 or 3 methodologies and to report the resulting stock
changes and non-CO2 emissions.

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Tiers 2 and 3: Two general methods are available for estimating the carbon stock changes in dead wood and
litter. Similar methods exist for the estimation of biomass carbon stock changes, and the choice of method for
estimating DOM changes may be affected by the choice of method for biomass carbon stock change estimation.

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Gain-Loss Method: The Gain-Loss method uses a mass balance of inputs to and losses from the dead wood and
litter pools to estimate stock changes over a specified period. This involves estimating the area of managed
Forest land remaining Forest land and the average annual transfer of carbon stock into and out of dead wood and
litter pools (Equation 2.18 in Chapter 2). To reduce uncertainty, the area under Forest land remaining Forest land
can be further stratified by climate or ecological zones, and classified by forest type, productivity, disturbance
regime, management practice, or other factors that affect dead wood and litter carbon pool dynamics. Estimation
of the net balance requires calculation on a per hectare basis of the annual transfers into the dead wood and litter
pools from stem mortality, litterfall and turnover, and the losses from decomposition. In addition, in areas
subject to management activities or natural disturbances, dead wood and litter will be added in the form of
biomass residues, and transferred through harvest (salvage of standing dead trees), burning or other mechanisms.

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It is good practice that the stratification of Forest land adopted for DOM be identical to that used for the
estimation of changes in biomass carbon stocks (Section 4.2.A).

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Stock-Difference Method: This involves estimating the area of managed Forest land remaining Forest land,
determining the dead wood and litter carbon stocks at two points of time and the calculation of the difference
between the two carbon stock estimates (Equation 2.19 in Chapter 2). The annual carbon stock change for the
inventory year is obtained by dividing the change in carbon stock by the period (years) between the two
measurements. Method 2 is only feasible for countries which have forest inventories based on sample plots.
Calculating carbon stock changes as the difference of carbon stocks at two points in time requires that the area at
time t1 and t2 is identical to ensure that reported carbon stocks are not the result of changes in area.

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For Tier 2 and 3 methods, both options, are data intensive and require field measurements and models for their
implementation. Such models can build on the knowledge and information compiled for the simulation of forest
dynamics as used in the timber supply planning process (e.g. Kurz et al. 2002, and Kurz and Apps, in press).

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4.2.2.2

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Tier 1: By default, it is assumed that the carbon stocks in the DOM pools in Forest land remaining Forest land
are stable. Carbon-dioxide emissions originating from dead wood and litter pools during wildfire are assumed to
be zero, and accumulation of carbon in dead wood and litter pools during regrowth is also not counted. NonCO2 emissions from wildfire, including CH4 and CO are estimated in Tier 1.

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Tier 2 and 3: fBLol is the fraction of total biomass left to decay on the ground, see Chapter 2, Equation 2.20.
Resolution and accuracy of the transferred carbon will correspond to the expansion factors applied in calculating
losses.

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Tier 2 estimation of fBlol requires national data on average proportions of carbon left after disturbances. When
national data are incomplete, Chapter 2 provides two tables:

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Default values of combustion factor to be used as (1 fBL) in case the country has good growing stock
biomass data; in this case the proportion lost is used; see Table 2.6

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Default values of biomass removals to be used as [MB (1 fBL)] in case the growing stock biomass data are
not reliable. MB is the mass of fuel available for combustion (see Table 2.4 and Equation 2.27 in Chapter 2).

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Country-specific values for transfer of carbon in live trees that are harvested to harvest residues can be derived
from national expansion factors, taking into account the forest type (coniferous/broadleaved/
mixed), the rate of biomass utilization, harvesting practices and the amount of damaged trees during harvesting
operations. Both harvest and natural disturbances add biomass to dead wood and litter pools. Other management
practices (such as burning of harvest residues) and wildfire remove carbon from dead wood and litter pools. If
the area under each management practice and type of forest affected by disturbance are known, then disturbance
matrices (see Chapter 2, Table 2.1; Kurz et al. 1992) can be used to define for each disturbance type the
proportion of each biomass, dead organic matter and soil carbon pool that is transferred to other pools, to the
atmosphere, or removed from the forest during harvest.

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Tier 3 estimation of fBlol, will require more detailed knowledge of the proportion of rapid emissions from
disturbances such as fires and windstorms. Data should be obtained by on-site measurements or from studies of
similar disturbances. Disturbance matrices (see Chapter 2 Table 2.1) have been developed to define for each
disturbance type the proportion of biomass (and all other carbon pools) that is transferred to other carbon pools,
released to the atmosphere, or transferred to harvested wood products (Kurz et al. 1992). Disturbance matrices
ensure conservation of carbon when calculating the immediate impacts of harvest or disturbances on ecosystem
carbon.

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Tier 3 methods rely on more complex forest carbon accounting models that track the rates of input and losses
from dead organic matter pools for each forest type, productivity and age-class. Where comprehensive forest
inventories exist that include re-measurement of dead organic matter pools, estimates of carbon stock changes
can also be derived using the stock-difference approach described in Equation 2.19 in Chapter 2. It is good
practice that inventory-based approaches with periodic sampling follow the principles set out in Chapter 3
Annex 3A.3. Inventory-based approaches can be coupled with models to capture the dynamics of all forest
carbon pools. Tier 3 methods provide estimates of greater certainty than lower tiers and feature a greater link
between the dynamics of biomass and dead organic matter carbon pools. Other important parameters in
modelling dead wood and litter carbon budgets are decay rates, which may vary with the forest type and climatic
conditions, and forest management practices (e.g. controlled broadcast burning or thinning and other forms of
partial harvest).

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4.2.2.3

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Countries using a Tier 1 method require no activity data for estimation of changes in carbon stock in DOM in
Forest land remaining Forest land.

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Countries using higher tiers require activity data on the areas of Forest land remaining Forest land classified by
major forest types, management practices, and disturbance regimes. Total forest area and all other activity data
should be consistent with that reported under other sections of this chapter, notably under biomass section of
Forest land remaining Forest land. Country-specific activity data on the area annually affected by harvest and
disturbances can be derived from national monitoring programs. The assessment of changes in carbon stock in
DOM is greatly facilitated if this information can be used in conjunction with national soil and climate data,
vegetation inventories, and other geophysical data.

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Data sources will vary according to a countrys forest management system. Data can be compiled from
individual contractors or companies, regulation bodies and governmental agencies responsible for forest

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inventory and management, and from research institutions. Data formats vary widely, and include, among others,
activity reports submitted regularly within incentive programs or as required by regulations, forest management
inventories and from monitoring programs using remotely sensed imagery (Wulder et al. 2004).

4.2.2.4

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6

Since Tier 1 assumes no change in DOM for Forest land Remaining Forest land, guidance on calculations steps
is not relevant.

4.2.2.5

C ALCULATION S TEPS

FOR

T IER 1

U NCERTAINTY A SSESSMENT

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Tier 1 by definition assumes stable carbon stocks so formal uncertainty analysis is not appropriate. In fact the
assumption is almost never true at the stand level and unlikely to be true in general, although the resulting error
could be small for a forested landscape because increases in some stands could be off-set by decreases in others,
but for the entire landscape or country, dead organic matter pools can be either increasing or decreasing. An
understanding of the types of changes that are occurring in the forests of a country can provide some qualitative
insight into the direction of change in dead organic matter pools. For example, in some countries biomass
growing stocks are increasing because harvest and disturbance losses are smaller than growth increments. It is
likely that dead organic matter pools are also increasing, even if the rate of increase cannot be known unless a
Tier 2 or 3 estimation method is used.

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Countries that use methods that assume all carbon losses occur in the year of disturbance are likely to
overestimate disturbance losses in the years of above-average disturbances, and underestimate true emissions in
years of below-average disturbances. Countries with fairly constant harvest or disturbance rates that rely on such
methods are likely to be closer to the actual net carbon stock changes.

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The uncertainty of estimates using higher Tier methods must be evaluated for each country using expert
judgment. It is fair to assume that the uncertainty in the estimates of changes of carbon stock in dead organic
matter is generally larger than that of the estimates of changes in carbon stock in biomass since, in most
countries, considerably more data are available on biomass stocks than on dead organic matter stocks. Moreover,
models that describe biomass dynamics are generally more advanced than models of dead organic matter
dynamics.

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Given the increased importance of understanding the non-timber components of forest ecosystems, many
countries have revised their inventory procedures. More data on dead organic matter carbon stocks and their
dynamics are becoming available, which will allow inventory agencies to better identify, quantify and reduce
uncertainties in dead organic matter estimates in the years to come.

31

4.2.3

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This section elaborates on estimation procedures and good practices for estimating change in forest soil C stocks
It does not include forest litter, which is a dead organic matter pool. Separate guidance is provided for two types
of forest soils: 1) mineral forest soils, and 2) organic forest soils.

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The organic C content of mineral forest soils (to 1 m depth) typically varies between 20 to over 300 tonnes C
ha-1 depending on the forest type and climatic conditions (Jobbagy and Jackson 2000). Globally, mineral forest
soils contain approximately 700 Pg C (Dixon et al. 1994), but soil organic C pools are not static due to
differences between C inputs and outputs over time. Inputs are largely determined by the forest productivity, the
decomposition of litter and its incorporation into the mineral soil and subsequent loss through
mineralization/respiration (Pregitzer 2003). Other losses of soil organic C occur through erosion or the
dissolution of organic C that is leached to groundwater or loss through overland flow. A large proportion of
input is from above-ground litter in forest soils so soil organic matter tends to concentrate in the upper soil
horizons, with roughly half of the soil organic C in the upper 30 cm layer. The C held in the upper profile is
often the most chemically decomposable, and the most directly exposed to natural and anthropogenic
disturbances. This section only deals with soil C and does not address decomposing litter (i.e., dead organic
matter, see Section 4.2.2).

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Human activities and other disturbances such as changes in forest type, productivity, decay rates and
disturbances can alter the C dynamics of forest soils. Different forest management activities, such as rotation
length; choice of tree species; drainage; harvest practices (whole tree or sawlog; regeneration, partial cut or
thinning); site preparation activities (prescribed fires, soil scarification); and fertilization, affect soil organic C
stocks (Harmon and Marks 2002, Liski et al. 2001, Johnson and Curtis 2001). Changes in disturbance regimes,
notably in the occurrence of severe forest fires, pest outbreaks, and other stand-replacing disturbances are also

Soil Carbon

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expected to alter the forest soil C pool (Li and Apps 2002, de Groot et al. 2002). In addition, drainage of forest
stands on organic soils reduces soil C stocks.

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General information and guidelines on estimating changes soil C stocks are found in Chapter 2 Section 2.3.3,
and needs to be read before proceeding with the specific guidelines dealing with forest soil C stocks. Changes in
soil C stocks associated with forests are computed using Equation 2.24 in Chapter 2, which combines the change
in soil organic C stocks for mineral soils and organic soils; and stock change for soil inorganic C pools (Tier 3
only). This section elaborates on estimation procedures and good practices for estimating change in forest soil C
organic stocks (Note: It does not include forest litter, i.e., dead organic matter). Separate guidance is provided for
two types of forest soils: 1) mineral forest soils, and 2) organic forest soils. See Section 2.3.3.1 for general
discussion on soil inorganic C (no additional information is provided in the Forest land discussion below).

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To account for changes in soil C stocks associated with Forests Remaining Forests, countries need to have, at a
minimum, estimates of the total forest area at the beginning and end of the inventory time period, stratified by
climate region and soil type. If land-use and management activity data are limited, Approach 1 activity data (see
Chapter 3) can be used as the basis for a Tier 1 approach, but higher Tiers are likely to need more detailed
records or knowledge of country experts about the approximate distribution of forest management systems.
Forest classes must be stratified according to climate regions and major soil types, which can be accomplished
with overlays of suitable climate and soil maps.

18

4.2.3.1

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Inventories can be developed using Tier 1, 2 or 3 approaches, and countries may choose to use different tiers for
mineral and organic soils. Decision trees are provided for mineral (Figure 2.4) and organic soils (Figure 2.5) in
Chapter 2 to assist inventory compilers with selection of the appropriate tier for their soil C inventory.

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Minera l So ils
In spite of a growing body of literature on the effect of forest types, management practices and other
disturbances on soil organic C, the available evidence remains largely site- and study-specific, but eventually
may be generalized based on the influence of climatic conditions, soil properties, the time scale of interest,
taking into consideration sampling intensity and effects across different soil depth increments (Johnson and
Curtis 2001, Hoover 2003, Page-Dumroese et al. 2003). However, the current knowledge remains inconclusive
on both the magnitude and direction of C stock changes in mineral forest soils associated with forest type,
management and other disturbances, and cannot support broad generalizations.

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Tier 1: Due to incomplete scientific basis and resulting uncertainty, it is assumed in the Tier 1 method that
forest soil C stocks do not change with management. Furthermore, if using Approach 2 or 3 activity data (see
Chapter 3), it is not necessary to compute C stock changes for mineral soils (i.e., change in SOC stocks is 0).

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If using activity data collected via Approach 1 (see Chapter 3), and it is not possible to identify the amount of
land converted from and to Forest lands, then the inventory compiler should estimate soil C stocks for Forest
lands using the areas at and the end of the year for which the inventory is being estimated, and the difference
estimates the uptake or less of forest soil. The changes in soil C stocks for forestlands are summed with the
changes in stocks for other land uses to estimate the influence of land-use change. If the compiler does not
compute a stock for Forest lands, it is likely to create systematic errors in the inventory. For example, land
converted from forest to cropland or grassland will have a soil C stock estimated in the final year of the
inventory, but will have no stock in the first year of the inventory (when it was forest). Consequently,
conversion to cropland or grassland is estimated as a gain in soil C because the soil C stocks are assumed to be 0
in the Forest land, but not in cropland and grassland. This would introduce a bias into the inventory estimates.
SOC0 and SOC0-T are estimated for the top 30 cm of the soil profile using Equation 2.25 (Chapter 2). Note that
areas of exposed bedrock in Forest lands are not included in the soil C stock calculation (assume a stock of 0).

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Tier 2: Using Equation 2.25 (Chapter 2) soil organic C stocks are computed based on reference soil C stocks
and country-specific stock change factors for forest type (FI), management (FMG) and natural disturbance regime
(FD). Note that the stock change factor for natural disturbance regime (FD) is substituted for the land-use factor
(FLU) in Equation 2.25. In addition, country-specific information can be incorporated to better specify reference
C stocks, climate regions, soil types, and/or the land management classification system.

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Tier 3: Tier 3 approaches will require considerable knowledge and data allowing for the development of an
accurate and comprehensive domestic estimation methodology, including evaluation of model results and
implementation of a domestic monitoring scheme and/or modelling tool. The basic elements of a countryspecific approach are (adapted from Webbnet Land Resource Services Pty ltd, 1999):

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Stratification by climatic zones, major forest types and management regimes coherent with those used for
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Determination of dominant soil types in each stratum;

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Characterization of corresponding soil C pools, identification of determinant processes in SOC input and
output rates and the conditions under which these processes occur; and

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Determination and implementation of suitable methods to estimate carbon stock changes from forest soils
for each stratum on an operational basis, including model evaluation procedures; methodological
considerations are expected to include the combination of monitoring activities such as repeated forest soil
inventories - and modelling studies, and the establishment of benchmark sites. Further guidance on good soil
monitoring practices is available in the scientific literature (Kimble et al. 2003, Lal et al. 2001, McKenzie et
al. 2000). It is good practice for models developed or adapted for this purpose to be peer-reviewed, and
validated with observations representative of the ecosystems under study and independent from the
calibration data.

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O rganic So ils
Tier 1: Currently only C emissions due to drainage of forest organic soils are addressed in the Tier 1 method due
to data limitations and lack of sufficient knowledge that constrain the development of a more refined default
methodology. Using Equation 2.26 (Chapter 2), drained forest organic soils are stratified by climate type, and
then multiplied by a climate-specific emission factor to derive an estimate of annual C emissions. Areas
converted to Forest land can be included in the total area estimate, in using Approach 1 land representation
without supplementary data to be able to identify land use changes.

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Tier 2: For Tier 2, the same basic equation is used as in Tier 1 (Equation 2.26), but country-specific information
is incorporated to better specify emission factors, climate regions, and/or develop a forest classification scheme,
relevant for organic soils.

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Tier 3: Tier 3 methodology involves the estimation of CO2 emissions associated with management of forested
organic soils, including all anthropogenic activities likely to alter the hydrological regime, surface temperature
and vegetation composition of forested organic soils; and major disturbances such as fires.

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4.2.3.2

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Minera l So ils
Tier 1: It is not necessary to compute the stock estimates for forest remaining Forest lands with Approach 2 or 3
activity data (see Chapter 3). If using Approach 1 activity data, stock change factors, including input,
management and disturbance regime, are equal to 1 using the Tier 1 approach. Consequently, only reference C
stocks are needed to apply the method, and those are provided in Table 2.3 of Chapter 2.

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Tier 2: In a Tier 2 approach, stock change factors are derived based on a country-specific classification scheme
for management, forest types, and natural disturbance regimes. A Tier 2 approach should also include the
derivation of country-specific reference C stocks, and a more detailed classification of climate and soils than the
default categories provided with the Tier 1 method.

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It is good practice to focus on the factors that have the largest overall effect, taking into account the impact on
forest SOC and the extent of affected forests. Management practices can be coarsely labeled as intensive (e.g.,
plantation forestry) or extensive (e.g., natural forest); these categories can also be redefined according to national
circumstances. The development of stock change factors is likely to be based on intensive studies at
experimental sites and sampling plots involving replicated, paired site comparisons (Johnson et al. 2002, Olsson
et al. 1996, see also the reviews by Johnson and Curtis 2001 and Hoover 2003). In practice, it may not be
possible to separate the effects of a different forest types, management practices and disturbance regimes, in
which case some stock change factors can be combined into a single modifier. If a country has well-documented
data for different forest types under different management regimes, it might be possible to derive soil organic C
estimates directly without using reference C stocks and adjustment factors. However, a relationship to the
reference C stocks must be established so that the impact of land-use change can be computed without artificial
increases or decreases in the C stocks due to a lack of consistency in the methods across the various land-use
sectors (i.e., cropland, grassland, forests, settlements, other lands).

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Inventories can also be improved by deriving country-specific reference C stocks (SOCref), compiled from
published studies or surveys. Such values are typically obtained through the development and/or compilation of
large soil profile databases (Scott et al. 2002, Siltanen et al. 1997). Additional guidance for deriving stock
change factors and reference C stocks is provided in Section 2.3.3.1 (Chapter 2).

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Tier 3: Constant stock change rate factors per se are less likely to be estimated in favor of variable rates that
more accurately capture land-use and management effects. See Section 2.3.3.1 (Chapter 2) for further discussion.

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Tier 1: Default emission factors are provided in Table 4.6 of Section 4.5, to estimate the loss of C associated
with drainage of organic soils.

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Tier 2: Tier 2 approaches involve the derivation of emission factors from country-specific data. The main
consideration is whether forests types or management in addition to climate regions will be subdivided into finer
classes. These decisions will depend on experimental data that demonstrate significant differences in C loss
rates. For example, drainage classes can be developed for various forest management systems. In addition,
management activities may disrupt the C dynamics of the underlying organic soils. Harvest, for example, may
cause a rise in the water table due to reduced interception, evaporation and transpiration (Dub et al. 1995).

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Tier 3: Constant emission rate factors per se are less likely to be estimated in favor of variable rates that more
accurately capture land-use and management effects See Section 2.3.3.1 (Chapter 2) for further discussion.

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4.2.3.3

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Minera l So ils

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Tier 1: For the Tier 1 approach, it is assumed that forest soil C stocks do not change with management, and
therefore it is not necessary to classify forest into various types, management classes or natural disturbance
regimes. However, if using Approach 1 activity data (see Chapter 3), environmental data will be needed to
classify the country into climate regions and soil types in order to apply the appropriate reference C stocks to
Forest lands. A detailed description of the default climate classification scheme is given in Chapter 3 Annex
3A.5. If the information needed to classify climate types is not available from national databases, there are
international sources of climate data such as United Nations Environmental Program. Data will be also be
needed to classify soils into the default categories provided in Chapter 3, and if national data are not available to
map the soil types, international soils data provide a reasonable alternative, such as the FAO Soils Map of the
World.

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Tier 2: Activity data for the Tier 2 approach consist of the major forest types, management practices,
disturbance regimes and the areas to which they apply. It is preferable for the data to be linked with the national
forest inventory, where one exists, and/or with national soil and climate databases. Typical changes include:
conversion of unmanaged to managed forest; conversion of native forest into a new forest type; intensification of
forest management activities, such as site preparation, tree planting and rotation length changes; changes in
harvesting practices (bole vs. whole-tree harvesting; amount of residues left on-site); frequency of disturbances
(pest and disease outbreaks, flooding, fires etc). Data sources will vary according to a countrys forest
management system, but could include individual contractors or companies, statutory forest authorities, research
institutions and agencies responsible for forest inventories. Data formats vary widely, and include, among others,
activity reports, forest management inventories and remote sensing imagery.

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In addition, Tier 2 should involve a finer stratification of environmental data than the Tier 1 approach, including
climate regions and soil types, which would likely be based on national climate and soils data. If a finer
classification scheme is utilized in a Tier 2 inventory, reference C stocks will also need to be derived for the
more detailed set of climate regions and soil types, and the land management data will need to be stratified based
on the country-specific classification.

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Tier 3: For application of dynamic models and/or a direct measurement-based inventory in Tier 3, similar or
more detailed data on the combinations of climate, soil, topographic and management data are needed, relative to
the Tier 1 and 2 methods, but the exact requirements will be dependent on the model or measurement design

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O rganic So ils
Tier 1: Forests are not stratified into various systems using Tier 1 methods. However, land areas do need to be
stratified by climate region and soil type (see Chapter 3 for guidance on soil and climate classification) so that
organic soils may be identified and the appropriate default emission factor applied.

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Tier 2: Tier 2 approaches may involve a finer stratification of management, forest type or disturbance regime, in
a manner consistent with the country-specific emission factors for organic soils. For example, forest systems will
need to be stratified by drainage if management factors are derived by drainage class. However it is good
practice for the classification to be based on empirical data that demonstrates significant differences in rates of C
change for the proposed categories. In addition, Tier 2 approaches should involve a finer stratification of climate
regions.

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Tier 3: For application of dynamic models and/or a direct measurement-based inventory in Tier 3, similar or
more detailed data on the combinations of climate, soil, topographic and management data are needed, relative to
the Tiers 1 and 2 methods, but the exact requirements will be dependent on the model or measurement design.

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4.2.3.4

C ALCULATION S TEPS

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Minera l So ils
Since Tier 1 assumes no change in mineral soil C stocks for Forest Land Remaining Forest, guidance on
calculations steps are not provided.

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O rganic So ils
Step 1: Estimate the area of drained organic soils under managed forest in each climatic region of the country
for each year or for the last year in each time period of the inventory (e.g., emissions over an inventory time
period between 1990 and 2000 would be based on the land-use in 2000, assuming land-use and management are
only known for these two years during the inventory time period).

FOR

T IER 1

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Step 2: Select the appropriate emission factor (EF) for annual losses of CO2 (from Table 4.8).

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Step 3: Estimate total emissions by summing the product of area (A) multiplied by the emission factor (EF) for
all climate zones.

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4.2.3.5

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Three broad sources of uncertainty exists in soil C inventories: 1) uncertainties in land-use and management
activity and environmental data; 2) uncertainties in reference soil C stocks if using Tier 1 or 2 approaches
(mineral soils only); and 3) uncertainties in the stock change/emission factors for Tier 1 or 2 approaches, model
structure/parameter error for Tier 3 model-based approaches, or measurement error/sampling variability
associated with Tier 3 measurement-based inventories. In general, precision of an inventory is increased (i.e.,
smaller confidence ranges) with more sampling to estimate values for the three broad categories. In addition,
reducing bias (i.e., improve accuracy) is more likely through the development of a higher Tier inventory that
incorporates country-specific information.

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For Tier 1, uncertainties are provided with the reference C stocks in the first footnote of Table 2.3 (Chapter 2),
and emission factor uncertainties for organic soils are provided in Table 4.6, Section 4.5. Uncertainties in landuse and management data will need to be addressed by the inventory compiler, and then combined with
uncertainties for the default factors and reference C stocks (mineral soils only) using an appropriate method,
such as simple error propagation equations. Refer to Section 4.2.1.5 for uncertainty estimate for land area
estimates. However, it is good practice for the inventory compiler to derive uncertainties from country-specific
activity data instead of using a default level.

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Default reference C stocks for mineral soils and emission factors for organic soils can have inherently high
uncertainties, particularly bias, when applied to specific countries. Defaults represent globally averaged values of
land-use and management impacts or reference C stocks that may vary from region-specific values (Powers et al.
2004, Ogle et al. 2006). Bias can be reduced by deriving country-specific factors using Tier 2 method or by
developing a Tier 3 country-specific estimation system. The underlying basis for higher Tier approaches will be
research in the country or neighbouring regions that address the effect of land use and management on soil C. In
addition, it is good practice to further minimize bias by accounting for significant within-country differences in
land-use and management impacts, such as variation among climate regions and/or soil types, even at the
expense of reduced precision in the factor estimates (Ogle et al. 2006). Bias is considered more problematic for
reporting stock changes because it is not necessarily captured in the uncertainty range (i.e., the true stock change
may be outside of the reported uncertainty range if there is significant bias in the factors).

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Uncertainties in land-use activity statistics may be improved through a better national system, such as
developing or extending a ground-based survey with additional sample locations and/or incorporating remote
sensing to provide additional coverage. It is good practice to design a classification that captures the majority of
land-use and management activity with a sufficient sample size to minimize uncertainty at the national scale.

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For Tier 2 methods, country-specific information is incorporated into the inventory analysis for purposes of
reducing bias. For example, Ogle et al. (2003) utilized country-specific data to construct probability distribution
functions for US specific factors, activity data and reference C stocks for agricultural soils. It is good practice to
evaluate dependencies among the factors, reference C stocks or land-use and management activity data. In
particular, strong dependencies are common in land-use and management activity data because management
practices tend to be correlated in time and space. Combining uncertainties in stock change/emission factors,
reference C stocks and activity data can be done using methods such as simple error propagation equations or
Monte-Carlo procedures.

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Tier 3 models are more complex and simple error propagation equations may not be effective at quantifying the
associated uncertainty in resulting estimates. Monte Carlo analyses are possible (Smith and Heath 2001), but
can be difficult to implement if the model has many parameters (some models can have several hundred

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parameters) because joint probability distribution functions must be constructed quantifying the variance as well
as covariance among the parameters. Other methods are also available such as empirically-based approaches
(Monte et al. 1996), which use measurements from a monitoring network to statistically evaluate the relationship
between measured and modelled results (Falloon and Smith 2003). In contrast to modelling, uncertainties in
measurement-based Tier 3 inventories can be determined from the sample variance, measurement error and other
relevant sources of uncertainty.

4.2.4 Greenhouse gas emissions from Biomass Burning

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Both uncontrolled (wildfires) and managed (prescribed) fires can have a major impact on the non-CO2
greenhouse gas emissions from forests. In Forest land remaining Forest land, emissions of CO2 from biomass
burning also need to be accounted for because they are generally not synchronous with rates of CO2 uptake. This
is especially important after stand replacing wildfire, and during cycles of shifting cultivation in tropical regions.
Where the type of forest changes (e.g. conversion of natural forests to plantation forests), there may be net
emissions of CO2 from biomass burning during the initial years, in particular if significant woody biomass is
burnt during the conversion. Over time, however, the impacts are not as great as those that result from Forest
land converted to Cropland or Grassland. Fire emissions during land-use conversion are reported in the new
land-use category unless restricted Approach 1 land area representation is being used without supplementary
data to enable land use conversions to be identified explicitly, in which case fire emissions from Forest land
should all be included in the Forest land remaining Forest land category.

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The general method for estimating greenhouse gas emissions in Forest land remaining Forest land, and in Land
converted to Forest land is described in Equation 2.27 in Chapter 2. Default tables for Tier 1 approach or
components of a Tier 2 approach are provided in that Section 2.4 of Chapter 2.

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4.2.4.1

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It is good practice that countries choose the appropriate Tier for reporting greenhouse gas emissions from fire,
based on the decision tree in Figure 2.6 in Chapter 2. Where fire is a key category, emphasis should be on using
a Tier 2 or Tier 3 approach. For prescribed fires, country-specific data are required to generate reliable estimates
of emissions, since activity data, in general, are poorly reflected in global data sets. In Forest land, both the CO2
emissions due to biomass burning and the CO2 removals resulting from vegetation regrowth need to be
accounted for when estimating the net carbon flux.

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4.2.4.2

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The mass of fuel available for combustion (MB of Equation 2.27) is critical for estimating the non-CO2 emissions.
Default data to support estimation of emissions under a Tier 1 approach are given in Tables 2.4 to 2.6 in Chapter
2. Countries need to judge how their vegetation types correspond with the broad vegetation categories described
in the default tables. Guidance for this is provided in Chapter 3 (Consistent Representation of Lands). Countries
using Tier 2 are likely to have national data at disaggregated level on MB, according to forest types and
management systems. Tier 3 estimation requires spatial estimates of MB according to different forest types,
regions and management systems. Tier 3 estimation methods can also distinguish fires burning at different
intensities, resulting in different amounts of fuel consumption.

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4.2.4.3

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Estimates of area burnt in Forest land remaining Forest land are needed. A global database exists that covers the
area burnt annually by fires but this will not provide reliable data for the area burnt annually by prescribed fires
in individual countries. It is good practice to develop national estimates of the area burned and the nature of the
fires especially how they affect forest carbon dynamics (e.g., effects on tree mortality) to improve the reliability
of national inventories. Countries using Tier 2 are likely to have access to national estimates. Tier 3 estimation
requires regional and forest type specific estimates of area subjected to fire and fire intensity.

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Summary of Steps for calculating greenhouse gas emissions from biomass burning using Equation 2.27 in
Chapter 2:

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Step 1: Using guidance from Chapter 3 (approaches in representing land-use areas), categorise the area of Forest
land remaining Forest land into forest types of different climatic or ecological zones, as adopted by the country
for Equation 2.27. Obtain estimates of A (area burnt) from global database or from national sources.

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Step 2: Estimate the mass of fuel (MB) available for combustion, in t/ha, which includes biomass, litter and dead
wood.

Step 3: Select combustion factor Cf (default values are in Table 2.6, Chapter 2).

4
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Step 4: Multiply MB and Cf to provide an estimate of the amount of fuel combusted. If MB or Cf is unknown,
defaults for the product of MB and Cf are given in Table 2.4.

Step 5: Select emission factors Gef (default factors are in Table 2.5, Chapter 2).

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Step 6: Multiply parameters A, MB, Cf, (or MB and Cf, Table 2.4) and Gef to obtain the quantity of greenhouse
gas emission from biomass burning. Repeat the steps for each greenhouse gas.

4.2.4.4

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Country-specific uncertainty estimates are to be estimated for Forest land remaining Forest land. These result
from the product of the uncertainties associated with activity data (area burnt) and the emission factors. It is
good practice to provide error estimates (e.g., ranges, standard errors) and not to use country-specific data (for
example, if it is of a limited nature) or approaches, unless this leads to a reduction in uncertainties compared
with a Tier 1 approach.

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4.3 LAND CONVERTED TO FOREST LAND

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This section provides methodological guidance on annual estimation of emissions and removals of greenhouse
gases, which occur on lands converted to Forest lands from different land-uses, including Cropland, Grassland,
Wetlands, Settlements, and Other land, through afforestation and reforestation, either by natural or artificial
regeneration (including plantations). The emissions and removals on abandoned lands, which are regenerating to
forest due to human activities, should be also estimated under this section. It substitutes the method described
under categories 5A, 5C, and 5D of the IPCC Guidelines. Land is converted to Forest land by afforestation and
reforestation, either by natural or artificial regeneration (including plantations). The anthropogenic conversion
includes promotion of natural re-growth (e.g. by improving the water balance of soil by drainage), establishment
of plantations on non-forest lands or previously unmanaged Forest land, lands of settlements and industrial sites,
abandonment of croplands, pastures or other managed lands, which re-grow to forest. Unmanaged forests are not
considered as anthropogenic greenhouse gas sources or sinks, and are excluded from inventory calculations.
Where these unmanaged forests are affected by human activities such as planting, thinning, promotion of natural
regeneration or others, they change status and become managed forests, reported under the category land
converted to Forest land, whose greenhouse gas emissions and removals should be included in the inventory and
estimated with the use of the guidance in this section. Land conversion may result in an initial loss of carbon due
to changes in biomass, dead organic matter and soil carbon. But natural regeneration or plantation practices lead
to carbon accumulation and that is related to changes in the area of plantations and their biomass stocks.

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Converted areas are considered Forest land, if, following conversion, they correspond to definition of forest
adopted by the country. Lands converted to Forest land are covered in this section of the national greenhouse gas
inventory until the time the soil carbon in new forests reach a stable level. A default period of 20 years5 is
suggested. .Forest ecosystems may require a certain time to return to the level of biomass, stable soil and litter
pools of undisturbed state. With this in mind and as a practical matter, the default 20-year time interval is
suggested. Countries also have an option to extend the length of transition period. After 20 years or other time
interval chosen, the converted lands become forest, i.e., the land areas are transferred from the Land converted to
Forest land category to Forest land Remaining Forest land (Section 4.2), where areas still becoming established
can be treated as a separate stratum if necessary. Logging followed by regeneration or re-growth should be
considered under Forest land remaining Forest land category, since no land-use change is involved.

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Some abandoned lands may be too infertile, saline, or eroded for forest re-growth to occur. In this case, either
the land remains in its current state or it may further degrade and lose organic matter. Those lands that remain
constant with respect to carbon flux can be ignored. However, in some countries, the degradation of abandoned
lands may be a significant problem and could be an important source of CO2. Where lands continue to degrade,
both above-ground biomass and soil carbon may decline rapidly, e.g., due to erosion. The carbon in eroded soil

It is clear that most forest ecosystems will take longer than 100 years to return to the level of biomass, soil and litter pools in
undisturbed state; however human-induced activities can enhance the rate of return to stable state of carbon stocks. With
this in mind and as a practical matter, the default 20-year time interval is suggested to capture the establishment of the
forest ecosystems. Countries also have the option to extend the length of the transition period, though a consistent
transition period will be required for the land use matrix system of land area representation to work properly.

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could be re-deposited in rivers, lakes or other lands downstream. For countries with significant areas of such
lands, this issue should be considered in a more refined calculation.

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Classification of land: Land converted to forest can be classified based on climate domain and ecological zones
and forest crown cover classes. The carbon stock varies with climate, biome or forest type, species mix,
management practices etc. It is good practice to stratify lands into homogenous sub-categories (see Chapter 3) to
reduce uncertainty in estimates of greenhouse gas emissions.

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The estimation of emissions and removals of carbon from land-use conversion to Forest land is divided into
three sub-sections: Change in Carbon Stocks in Biomass (Section 4.3.1), Change in Carbon Stocks in Dead
Organic Matter (Section 4.3.2) and Change in Carbon Stocks in Soils (Section 4.3.3). The annual changes in
carbon stocks on land converted to forest are calculated using Equations 2.2 and 2.3 of Chapter 2 on the basis of
annual changes in carbon stocks in biomass, dead organic matter (including dead wood and litter) and soil.
Changes in carbon stock in land converted to Forest land are estimated using:

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annual change in carbon stocks in above- and below-ground biomass

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annual change in carbon stocks in dead organic matter that includes dead wood and litter

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annual change in carbon stocks in soils

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The approach for calculation of non-CO2 emissions is described in Section 4.3.4 based on methods given in
Chapter 2.

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Application of these methods will only be possible if using Approach 2 or 3 land area representation as set out in
Chapter 3, or Approach 1 data with supplementary data to enable land use conversions to be identified. The
actions to be taken in this case have already been identified in Section 4.2 above (Forest land remaining Forest
land).

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4.3.1

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This section presents methodological guidance for calculation of emissions and removals of CO2 by changes in
biomass on lands converted to Forest land. It substitutes the methodology provided for reporting on Changes in
Forest and Other Woody Biomass Stocks and Abandonment of Managed Lands categories of the IPCC
Guidelines as applied to newly established forests.

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4.3.1.1

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This section presents methodological guidance for calculation of emissions and removals of CO2 by changes in
above- and below-ground biomass on lands converted to Forest land. Based on key category analysis, activity
data and resources available, three tier methods are suggested to estimate changes in biomass stocks. The
decision tree in Figure 1.3 in Chapter 1 illustrates good practice approach for choosing the method to calculate
CO2 emissions and removals in biomass on lands converted to forests.

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Tier 1: Annual change in carbon stocks in biomass is estimated with the use of Equation 2.7 in Chapter 2. Tier
1 follows the default approach. It implies the use of default parameters provided in Section 4.5. This approach
can be also applied, if the data on previous land uses are not available, which may be the case, when areas are
estimated using Approach 1 from Chapter 3. It implies the use of default parameters in Tables 4.1 through 4.14.

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Annual Increase in Carbon Stocks in Biomass, CG. The calculations of CG should be made according to
Equation 2.9 in Chapter 2. As the growth rate of trees strongly depends on management regime, a distinction
should be made between intensively (e.g. plantation forestry) and extensively (naturally re-growing stands with
reduced or minimum human intervention) managed forests. The calculations should be made according to
Equation 2.9 in Chapter 2. The intensively and extensively managed forests can be further stratified based on
climate, species, management practices etc. Hence, the annual increase in carbon stocks can be estimated
separately for intensively and extensively managed forests, using Equation 2.9 twice. First, for intensively
managed forests using relevant area (AI) and the relevant mean annual biomass growth (GTotal) for intensively
managed forests and second, for extensively managed forests by using appropriate area (AE) and mean annual
biomass growth (GTotal) data for extensively managed forests. GTOTAL is calculated using Equation 2.10, Chapter
2, and default data tables in Section 4.5. The intensively managed and extensively managed forests can be
further stratified based on climate, species, forest management practices etc. The default data for extensively and
intensively managed forests from the tables should be chosen with regard to tree species composition and
climatic region. The default data for extensively and intensively managed forests should be taken from Section
4.5, correspondingly.

4.28

Biomass

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Annual Decrease in Carbon Stocks in Biomass Due to Losses, CL. Biomass loss due to wood removal
(Lremoval), fuelwood removal (Lfuelwood) and disturbances (Ldisturbance) attributed to land converted to forest, is
estimated using Equation 2.11 in Chapter 2.

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12

The loss of biomass due to wood removal (Lremoval) is estimated with the use of Equation 2.12, of Chapter 2, and
default values of basic wood density and the data on round wood logging, biomass conversion expansion factor,
below-ground biomass to above-ground biomass ratio (R) and carbon fraction of dry matter (CF)), provided in
Section 4.5 tables. The biomass loss due to fuelwood removal (Lfuelwood) is estimated using Equation 2.13,
fuelwood collecting data and relevant BCEFH for growing stock, R and CF from default tables in Section 4.5.
The (Ldisturbance) could be estimated using Equation 2.14, in Chapter 2, area of disturbance, average growing stock
biomass of land areas affected by disturbances and appropriate BCEF, R and CF from default tables in Section
4.5. The CL should be assumed 0, if no data on losses are available (for Equation 2.11). To prevent double
accounting or omission, consistent reporting of biomass loss should be maintained in Sections 4.2.1 and 4.3.1.

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17

Tier 2: The Tier 2 method is similar to Tier 1, but it uses nationally derived data and more disaggregated
activity data and allows for more precise estimates of changes in carbon stocks in biomass. The net annual CO2
removals are calculated as a sum of increase in biomass due to biomass growth on converted lands, changes due
to actual conversion (difference between biomass stocks before and after conversion) and losses on converted
lands (Equations 15 and 16, Chapter 2).

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In addition to default values, the application of Tier 2 (Equation 2.15) requires national data on: i) area annually
converted to forest; ii) average annual growth in carbon stocks in biomass per ha on converted lands, obtained
e.g. from forest inventories (no default data can be provided); iii) change in biomass carbon when non-forest
land becomes forest and iv) emissions due to loss of biomass on converted land. The approach may require data
on previous land uses as well as knowledge of land-use change matrix (see Table 3.4 in Chapter 3) and carbon
stocks on those lands.

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CG should be estimated using Equation 2.9, where the area (A) of land converted to forest should be considered
separately along with respective mean annual increments for intensively and extensively managed forests
(further categorized based on species, climate etc.) and summed up. Average annual increment in biomass for
managed forests is calculated in accordance with Tier 2 method as in Section 4.2.A, Forest land remaining Forest
Land and Equation 2.10, Chapter 2, based on country-specific data on average annual biomass growth in
merchantable volume per ha on land converted to forests (obtained e.g. from forest inventories) and on basic
wood density, biomass conversion and expansion factors and below-ground to above-ground biomass ratio.

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CCONVERSION accounts for the initial change in biomass stocks resulting from the land-use conversion, e.g. part
of biomass may be withdrawn through land clearing, restocking or other human-induced activities applied on
land prior to artificial or natural regeneration. These changes in carbon stocks in biomass are calculated with the
use of (Equation 2.16 in Chapter 2). This requires estimates of biomass stocks on land type i before (BBEFOREi)
and after (BAFTERi ) the conversion in tonnes d.m. ha-1, area of land-use i converted to Forest land (ATO_FORESTi)
in a certain year, and the carbon fraction of dry matter (CF).

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The calculation of CCONVERSION may be applied separately to account for different carbon stocks occurring on
specific types of land (ecosystems, site types etc.) before the transition. The ATO_FORESTi refers to the particular
inventory year for which the calculations are made.

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CL is estimated using Equation 2.11 in Chapter 2. Biomass loss due to wood removal (Lremoval) fuelwood
removal (Lfuelwood) and disturbances (Ldisturbance) should be estimated with the use of Equations 2.12 to 2.14, in
Chapter 2. Inventory compilers are encouraged to develop country-specific wood density and BEF or BCEF
values for growing stock increment and harvests to apply them in Equation 2.12 (for Tier 2 calculations).
Chapter 2 describes the method for calculation of biomass losses from fuelwood gathering (Lfuelwood) and
disturbances (Ldisturbance). The CL should be assumed 0, if no data on losses are available. It is good practice to
ensure consistent reporting on biomass losses between Sections 4.2.2 and 4.2.3 to avoid over- and
underestimates due to double counting or omissions.

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Tier 3: Tier 3 should be used when land conversion to forests represents is a key category and leading to a
significant change of carbon stocks. It can follow the same equations and steps as Tier 2 or can use more
complex methods and models, but in either case, it can make use of substantial national methods and countryspecific data. The Equations 2.15 and 2.16 can be expanded on the basis of finer geographical scale and subdivision to forest type, species, and land type before conversion. Country-defined methodologies may be based
on regular forest inventory or geo-referenced data and (or) models for accounting for changes in biomass.
National activity data can have high resolution and be available for all categories of converted lands and forest
types established on them. It is good practice to describe and document the methodology in accordance with
Volume 1 Chapter 8 (Reporting Guidance and Tables).

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Transfer of biomass to dead organic matter: During the process of conversion of land to Forest land as well
as during the process of extraction of biomass through felling, the non-commercial component of the biomass is
left on the forest floor or transferred to dead organic matter. Refer to Section 4.3.2 for description of the method
and the assumptions about the fate of dead organic matter.

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Annua l Increa se in Carbon Stock s in Bioma ss, C G


The calculations distinguish between two broad management practices; intensive (e.g. plantation forestry with
site preparation, planting of selected species and fertilisation) and extensive (natural regeneration with minimum
human intervention). These categories can also be refined according to national circumstances, for example
based on stand origin (e.g. natural or artificial regeneration, restocking, promotion of natural re-growth etc.),
climate, species, management practice etc.

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14
15
16
17
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Tier 1: The methods for calculation of total biomass require above- and below-ground biomass pools (for pool
descriptions, refer to Chapter 1). The tables in Section 4.5 represent default values of average annual growth in
above-ground biomass for intensively (plantations) and extensively (naturally regenerated) managed forests,
biomass conversion expansion factors, root biomass to above-ground biomass ratio and carbon fraction of dry
matter (CF). The root biomass to above-ground biomass ratio should be used to account for below-ground
biomass in total biomass estimations. Basic wood density and biomass expansion factors, which allow for
calculation of CG biomass as described in Section 4.2.1 Forest land remaining Forest land. It is good practice to
explore any regional or otherwise relevant default values to the country.

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Tier 2: It is good practice to determine wherever possible annual increment values, root biomass to aboveground biomass, basic wood density, and biomass conversion expansion factors appropriate for national
conditions and use them in calculations under Tier 2. These categories can also be refined according to national
circumstances, for example based on stand origin (e.g. natural or artificial regeneration, restocking, promotion of
natural re-growth etc.), climate, species composition, management regime, The further stratifications may refer
to tree species composition, management regime, stand age, climatic region and soil type etc. Countries are
encouraged to obtain specific biomass increment and expansion factors through research efforts. Additional
guidance is provided in Section 4.2.1.

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Tier 3: The increment in biomass carbon stocks can be estimated based on country-specific annual biomass
growth and carbon fraction in biomass data that come from forest inventories, sample plots, research and (or)
models. The inventory compilers should ensure that the models and forest inventory data have been
appropriately documented and described in line with the requirements highlighted in Volume 1 Chapter 8.

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35

Change in Biomass stocks on land before and after conversion, CCONVERSION


The calculations of biomass stocks before and after conversion should be made with the use of values consistent
with other land uses. For example, comparable values of carbon stock should be used to estimate initial carbon
stock for Grassland converted to Forest land and for changes in biomass for Grassland remaining Grassland.

36

Tier 1: No estimate of CCONVERSION is required for Tier 1 calculations.

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Tier 2: It is good practice to obtain and use wherever possible country-specific data on biomass stocks on land
before and after conversion. The estimates should be consistent with those used in calculations of carbon stock
changes in grassland, cropland, wetlands, settlements and other land uses and should be obtained from national
agencies or surveys. Tier 2 may imply the use of a combination of country-specific and default data. For default
biomass stock values on land before the conversion, refer to other sections of this Volume.

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Tier 3: Estimates and calculations should be performed based on forest inventory and or model data. Forest
inventory and models and data should be documented in line with procedures outlined in Volume 1 Chapter 8.

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52
53

Cha nge in Carbo n Stocks in Biomass Due to Lo sses, C L


Wood removal, fuelwood removal and natural disturbances such as windfall, fires and insect outbreaks result in
loss of carbon on land converted to Forest land that should be reported in accordance with good practice
approach provided in Section 4.2.1 Forest land remaining Forest land, of this Chapter. The good practice
approach provided in Section 4.2.1 for estimating losses of carbon is fully applicable and should be used for
appropriate calculations under Section 4.2.2. If changes in carbon stocks are derived from regular forest
inventories, the losses from wood removal and disturbances will be covered without a need to report on them
separately. It is good practice to ensure consistent reporting on losses of biomass between Sections 4.2.1 and
4.2.2 to avoid double counting or omissions.

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Chapter 4: Forest Land

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The data on logging of round wood should be taken from national sources or FAO. It should be noted that FAO
data on logging is in merchantable round wood over bark. Bark fraction in harvested wood (BF) should be
applied to account for bark in wood removals with harvest. If logging is significant in the country, the inventory
compilers are encouraged to use national harvest data or derive country-specific BF values.

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In most countries, information on area disturbed is not likely to be available by the two sub-categories, Forest
land remaining Forest land and land converted to Forest land sub-categories. Given that the latter is in most
cases much smaller than the former, all disturbances can be applied to Forest land remaining Forest land, or the
disturbed area can be pro-rated in proportion to the two land sub-categories.

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12

Fuelwood consumption data are not normally reported separately for Forest land remaining Forest Land and
Land Converted to Forest Land. Then it is likely that the default fuelwood data is likely to be reported in Forest
land Remaining Forest land. The reporting of fuelwood should be cross-checked between the two land subcategories to avoid double counting by checking with reporting of fuelwood in Forest land remaining Forest land.

13

4.3.1.3

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Area of La nd Co nverted to forest, A T O _ F O R E S T


All tiers require information on areas converted to Forest land over the 20 years prior to the inventory year. After
20 years or other time interval chosen, the lands converted to Forest land as defined in the country, such areas
should be transferred to and accounted for under Section 4.2. The same area data should be used for Sections
4.3.2 (Change in Carbon Stocks in Dead Organic Matter), Section 4.3.3 (Change in Carbon Stocks in Soils), and
Section 4.3.4 (Non-CO2 Greenhouse Gas Emissions). If possible, these areas should be further disaggregated to
take into consideration major soil types and biomass densities on land before and after conversion. Box 4.4 gives
examples of a good practice approach in identification of lands converted to Forest land. Subject to national data
availability, the inventory compilers can also choose good practice approach on the basis of approaches provided
in Chapter 3.

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Different biomass growth rates should be used for calculations of biomass stocks for forests naturally re-growing
on abandoned lands and for forest plantations. To undertake calculations under Tier 2 and 3, inventory compilers
are encouraged to obtain information on types of previous land uses for lands converted to forests.

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Tier 1: Activity data can be obtained through national statistics, from forestry agencies (information on areas of
different management practices), conservation agencies (naturally regenerated areas), municipalities, survey and
mapping agencies. Expert judgment may be used to assess whether new forests are predominantly intensively or
extensively managed, if no recorded data are available. If the data on intensively and extensively managed areas
of forests become available, these should be used for further partitioning areas to obtain more accurate estimates.
Cross-checks should be applied to ensure complete and consistent representation of data to avoid omissions or
double counting. If no country data are available, aggregate information can be obtained from international data
sources (FAO, 2001; TBFRA, 2000).

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Tier 2: Areas under different land uses subjected to conversion during a given year or over a period of years
should be available. They can come from national data sources and a land-use change matrix or its equivalent
that covers all possible transitions to Forest land. Country-defined national data sets should have a resolution
sufficient to ensure appropriate representation of land areas in line with provisions of Chapter 3 of this Volume.
It is important to estimate area converted to forest through natural regeneration and plantation approach.

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Tier 3: National activity data on land conversion to forest through natural and artificial regeneration should be
available from different sources, notably national forest inventories, registers of land-use and land-use changes
and remote sensing, as described in Chapter 3 of this Volume. These data should give a full accounting of all
land-use transitions to Forest land and can be further disaggregated along climate, soil and vegetation types.
Area under plantations is usually available according to species and age of the stand.

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BOX 4.4
EXAMPLES OF GOOD PRACTICE APPROACH IN IDENTIFICATION OF LANDS CONVERTED TO FOREST LAND

3
4
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8

National land management systems can allow for identification of land-use changes, and the land
census systems implemented in many countries also enables consistent representation and timely
tracking changes in land use. The national inventory compilers should take the data from land
management systems or censuses and use them as the basis for identification of converted lands.
The land conversion data may be obtained directly from companies, private owners, ministries and
agencies, which undertake particular activities over converted lands.

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19

In some countries, special accounting systems have been designed to estimate emissions and
removals over converted lands. The Australia National Carbon Accounting System (NCAS)
<http://www.greenhouse.gov.au/ncas> is an example of a good practice approach in identification
of land conversion. The NCAS is a sophisticated model-based tool that comprises data from
resource census, field studies and remote sensing. It operates at high spatial and temporal scales.
The NCAS addresses all sectors of activity in land systems, including carbon pools and all
greenhouse gases as affected by human-induced activities. It allows for tracking afforestation and
reforestation activities within the territory of the country along with estimating emissions and
removals relevant to them. As soon as the new data enter the NCAS, the inventory data are
updated continuously. Design and implementation of the NCAS and its components has been
subjected to extensive peer review and Quality Assurance/Quality Control regime (AGO, 2002).

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22
23

Similar systems are being developed in New Zealand (Stephens et al. (2005); Trotter et al. (2005)),
Canada (Kurz and Apps, in press) and other countries. The use of such land management systems
contributes to development of high quality inventories and reduces the levels of uncertainty within
the sector.

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25

4.2.1.4

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T he fo llo wing s umma r iz e s s tep s for e s tima ting cha nge in c arbo n s to ck s in bio mas s ( C B )
u s ing t he d e f a u l t me t ho d s
Step 1: Estimate area converted to Forest land (during the period 20 years before the year of the inventory) from
other land categories such as, cropland, grassland and settlements. Refer to Chapter 3 for detailed approaches for
estimating land converted to Forest land.

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Step 2: Disaggregate the area converted to Forest land according to intensively managed forest (through
plantation forestry) and extensively managed forest (through natural regeneration) based on the approach used
for conversion.

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35

Step 3: Calculate the initial biomass loss associated with the land conversion (Equation 2.16). This can be
stratified by land conversion methods.

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Step 4: Estimate the annual increase in carbon stocks in biomass growing on Land Converted to Forest land for
intensively managed forests at species and other sub-category level using Equations 2.9 and 2.10 in Chapter 2.
Estimate annual increment of biomass at species and other sub-category level.

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Step 5: Estimate the annual increase in carbon stocks in biomass growing on Land Converted to Forest land for
extensively managed forests at species and other sub-category level using Equation 2.9 and 2.10 in Chapter 2.

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Step 6: Estimate annual loss or decrease in biomass (Lremoval) due to commercial fellings (industrial wood and
sawn logs) using Equation 2.12 in Chapter 2.

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Step 7: Estimate biomass loss due to fuelwood removal (Lfuelwood) on land converted to forestland using Equation
2.13 in Chapter 2.

45

Step 8: Estimate annual carbon loss due to disturbance or other losses using Equation 2.14 in Chapter 2

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47

Step 9: Estimate the total loss of biomass carbon due to wood removal, fuelwood removal and disturbance using
Equation 2.11 in Chapter 2.

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Step 9: Estimate the annual change in carbon stock in biomass CB on Land converted to Forest land by
deducting total loss of biomass CL from total annual increase in biomass stocks CG in Chapter 2.

4.32

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Chapter 4: Forest Land

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Example. The following example shows Gain-Loss method (Tier 1) calculations of annual change
in carbon stocks in biomass (CB, Equation 2.7, Chapter 2) for a hypothetical country in temperate
continental forest zone of Europe (Table 4.1, Section 4.5). The area of non-forest land converted to
Forest land (A) within the country is 1,000 ha (see Chapter 3 for area categorization). The new
forest is intensively managed 9-year-old pine plantation, average above-ground growing stock
volume is 10 m3 ha-1. Thinning removed 100 m3 yr-1 of merchantable round wood over bark (H);
50 m3 yr-1 of whole trees (FGtrees) were removed as fuel wood. The area of insect disturbance
(Adisturbance) is 50 ha yr-1 with 1.0 t dm ha-1 of above-ground biomass affected (BW).

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Annual gain in biomass (CG) is a product of mean annual biomass increment (GTOTAL), area of
land converted to Forest land (A) and carbon fraction of dry matter (CF), Equation 2.9, Chapter 2.

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- GTOTAL is calculated using annual above-ground biomass increment (GW), root biomass to aboveground biomass ratio (R) (Equation 2.10, Chapter 2) and default data tables, Section 4.5.

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- For the hypothetical country, GW = 4.0 t dm-1 yr-1 (Table 4.12). R = 0.40 t dm t-1 dm-1 for aboveground biomass <50 t ha-1 (Table 4.4, with reference to Table 4.8 for above-ground biomass). GTOTAL = 4.0 t dm ha-1 yr-1 (1 + 0.40) = 5.6 t dm ha-1 yr-1 (Equation 2.10).

17

- CF = 0.47 t C t-1 dm-1 (Table 4.3).

18

- CG (Equation 2.9): = 1,000 ha 5.6 t dm ha-1 yr-1 0.47 t C t-1 dm-1 = 2,632 t C yr-1.

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Biomass loss (CL) is a sum of annual loss due to wood removals (Lremovals), fuelwood removal
(Lfuelwood) and disturbances (Ldisturbance), Equation 2.11, Chapter 2.

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Wood removals (Lremovals) is calculated with Equation 2.12, Chapter 2, merchantable round wood
over bark (H), biomass conversion expansion factor (BCEFR), bark fraction in harvested wood
(BF), root biomass to above-ground biomass ratio (R), carbon fraction of dry matter (CF) and
default tables in Section 4.5. For the hypothetical country;

25

BCEFR = 2.0 t dm m-3 (Table 4.5, with reference to volume of growing stock 10 m3 ha-1).

26

Default BEF = 0.1 t dm t-1 dm-1;

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R = 0.40 t dm t-1 dm-1 for above-ground biomass <50 t ha-1 (Table 4.4, for above-ground
biomass refer to Table 4.8).

29

CF = 0.47 t C t-1 dm-1 (Table 4.3).

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Lremovals = 100 m3 yr-1 2 t dm m-3 (1 + 0.40 + 0.1) 0.47 t C t-1 dm-1 = 141 t C yr-1 (Equation
2.12).

32

Fuelwood removal (Lfuelwood) is calculated using Equation 2.13, Chapter 2,

33

wood removals as whole trees (FGtrees),

34

biomass conversion expansion factor (BCEFR),

35

below-ground biomass to above-ground biomass ratio (R),

36

carbon fraction of dry matter (CF) and default tables in Section 4.5.

37

BCEFR = 2.0 t dm m-3 (Table 4.5, with reference to growing stock volume 10 m3 ha-1).

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R = 0.40 t dm t-1 dm-1 for above-ground biomass <50 t ha-1 (Table 4.4, with reference to Table
4.8 for above-ground biomass).

40

CF = 0.47 t C t-1 dm-1 (Table 4.3).

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Lfuelwood = 50 m3 yr-1 2.0 t dm m-3 (1 + 0.40) 0.47 t C t-1 dm-1 = 65.80 t C yr-1 (Equation
2.13).

43
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45
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47

Annual carbon loss in biomass due to disturbances (Ldisturbance) is calculated using Equation
2.14, Chapter 2, area of disturbances (Adisturbance), average above-ground biomass affected (BW),
below-ground biomass to above-ground biomass ratio (R), carbon fraction of dry matter (CF),
fraction of biomass lost in disturbance (fd) and default tables in Section 4.5. For the hypothetical
country,

48

fd = 0.3; R = 0.40 t dm t-1 dm-1 for above-ground biomass <50 t ha-1 (Table 4.4, with reference

Draft 2006 IPCC Guidelines for National Greenhouse Gas Inventories

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to Table 4.8 for above-ground biomass).

2
3

CF = 0.47 t C t-1 dm-1 (Table 4.3). Ldisturbance = 50 ha yr-1 1.0 t dm ha-1 (1 + 0.40) 0.47 t C t1
dm-1 0.3= 9.87 t C yr-1 (Equation 2.14).

CL = 141.00 t C yr-1 + 65.80 t C yr-1 + 9.87 t C yr-1 = 216.67 t C yr-1 (Equation 2.11).

Annual change in carbon stocks in biomass (CB)

Using Chapter 2 Equation 2.7 (CB = (CG CL),

CB = 2,632 t C yr-1 - 216.67 t C yr-1 = 2,415.33 t C yr-1 (Equation 2.7)

8
9
10

4.3.1.5

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The emission factors required for estimating carbon stock changes for Land Converted to Forest land are nearly
identical to those required for Forest land Remaining Forest land, but refer to lands converted to forests within
20 years of the inventory year (default period of conversion). The discussion on uncertainty for Forest land
Remaining Forest land also applies here. The uncertainty involved in the estimation of biomass stocks on land
before and after conversion is likely to be high. This uncertainty can be reduced by conducting sample field
studies in dominant land categories subjected to conversion to Forest land. The uncertainty is likely to be low for
the wood removal (industrial round wood), since national statistics are likely to be maintained on commercial
harvests, although sometimes it may be difficult to separate commercial harvests due to deforestation from those
that come from Forest land remaining Forest land. However, the uncertainty is likely to be high for fuelwood
removal and gathering and biomass loss due to disturbance. The uncertainty involved for commercial and
traditional methods should be reduced by conducting sample surveys in different socio-economic and climatic
regions.

23
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27
28

The critical activity data required for estimating carbon stock changes include the area of land converted and loss
rates of biomass during the initial conversion and thereafter. The level of uncertainty for area under intensive and
extensive plantations is likely to be low since most countries maintain records of the area afforested and
reforested. The uncertainty should be reduced by developing a land-use change matrix of Forest land Remaining
Forest land and for different categories of land converted to forest, based on remote sensing or other monitoring
techniques. A combination of remote sensing and ground surveys could have an uncertainty as low as 10-15%.

29

4.3.2

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In this section, changes in carbon stock in dead organic matter pools are discussed for the land category land
converted to Forest land. Croplands, grasslands, settlements, and other land categories can be potentially
converted to Forest land through planting or natural regeneration. It is likely that most non-forest land will not
have significant dead wood or litter carbon pools. Accordingly, the Tier 1 assumption is that carbon stocks in
dead wood and litter pools in non-forest land are zero, and that carbon in dead organic matter pools increases
linearly to the value of mature forests over a specified time period (default = 20 years). The Tier 1 assumption
for the conversion of unmanaged to managed Forest land is that the dead organic matter carbon stocks in
unmanaged forests are similar to those of managed forests and that no carbon stock changes need to be reported.
In reality, other things being equal, dead organic matter carbon stocks in unmanaged forests are higher than
those in managed forests because harvest removes woody biomass that would otherwise contribute to long-term
dynamics of DOM pools (Kurz et al. 1998) and it is good practice that countries with high rates of conversion of
unmanaged to managed forests use higher Tier methods to estimate the resulting changes in DOM carbon stocks.

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49

Methods to estimate emissions and removals of carbon in dead organic matter pools following conversion of
land to Forest land require estimates of the carbon stocks just prior to and just following the conversion, and
estimates of the areas of lands converted during the inventory period. Some of the non-forest land categories,
such as wetlands, settlements, cropland and grassland can have significant carbon stock in the DOM pools. It is
good practice to assess whether the assumption of zero DOM pool sizes is justified for lands converted to forest.
Higher Tier methods can specify the initial DOM pool sizes (e.g. in some land categories dead wood and litter
pools are non-zero) and quantify the length of the transition period (default = 20 years) during which DOM pools
are changing as a result of a transition to Forest land.

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Dead Organic Matter

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The general methods for estimating changes in carbon stock in dead organic matter pools have been described in
Chapter 2 Section 2.3.2. The decision tree in Figure 1.3 in Chapter 1 provides guidance in the selection of the
appropriate tier level for the implementation of estimation procedures. Dead wood and litter carbon stock
estimates often differ significantly depending on previous land use, forest type, and regeneration type.

Tier 1

OF

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For land converted to Forest land, the Tier 1 assumption is that dead wood and litter pools increase linearly from
zero (in the non-forest land category) to the default values for the climate region over a period of T years (the
current default is 20 years for both litter and dead wood carbon pools). Human activities such as fuelwood
collection and some silvicultural practices such as frequent thinnings can greatly affect the rate of carbon
accumulation in dead wood and litter pools. It is good practice to assess whether the default pool sizes and the
assumed transitions periods are reasonable given a countrys climatic and management regimes. The 20-year
default period is appropriate for litter pools but likely too short for dead wood pools, particularly in colder
regions with slow growing vegetation. If the time required to accumulate DOM pools is longer than the default
period, then the Tier 1 assumptions may overestimate the rates of carbon accumulation. Where the area involved
in land-use conversion to forests is large, it is good practice to develop national estimates of the rates of litter
and dead wood carbon accumulation in lands converted to Forest land.

18

Tiers 2 and 3

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Changes in carbon stock in dead wood and litter pools under a Tier 2 or Tier 3 can be estimated using the two
methods outlined in Chapter 2 (Equations 2.18 and 2.19 in Chapter 2). It is good practice to stratify areas
converted to Forest land according to the prior land use, the methods used during the conversion (e.g. site
preparation, treatment of residual biomass), and the productivity and characteristics of the forest that is
regrowing. All of these factors influence the magnitude and rate of change of carbon stock in the DOM pools on
land converted to Forest land.

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Countries using higher Tier methods are also encouraged to select more appropriate transition periods for litter
and dead wood carbon stocks. Litter pools can stabilize relatively quickly as inputs balance outputs. Dead wood
pools generally require much longer transition periods from non-forest to forest conditions. Moreover, both litter
and dead wood carbon stock sizes are affected by many factors and countries using higher Tiers are encouraged
to select DOM stock values at maturity that adequately reflect national circumstances. Countries using Tier 3
modeling approaches will obtain estimates of dead organic matter stocks based on the simulated balance of input
and losses.

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4.3.2.2

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Tier 1: Countries using a Tier 1 method require data on the default dead wood and litter carbon stocks in the six
land-use categories in different climatic regions, as defined in Table 3.1 Chapter 3. The Tier 1 assumption is that
carbon stocks in litter and dead wood pools in all non-forest land categories are zero. For lands converted to
Forest land, the carbon stocks in dead wood and litter pools are assumed to increase linearly over the transition
period T (default is 20 years for both litter and dead wood C stocks). Thus, the annual rate of increase is
estimated as the ratio between the difference in carbon stocks in the DOM pools in the non-forest and forest
categories, and the number of years in the transition period T.

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Tier 2 and 3: The higher Tier methods described in Chapter 4.2 Forest land remaining Forest land are equally
applicable to land converted to Forest land. Additional emission and removal factors are required where the
impacts of the land-use conversion practices (e.g. site preparation and slash burning) are to be estimated.
Additional requirements may arise if the assumption that carbon stocks in dead wood and litter pools of nonforest land categories are zero cannot be justified, such as in some agro-forestry systems, in settlements with
substantial forest cover, and in other circumstances. This may pose special challenges because forest inventories
typically do not include such areas and other data sources need to be identified or measurement programs
implemented.

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4.3.2.3

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The Tier 1 method requires activity data on the annual rate of conversion to Forest land. Activity data should be
consistent with those used for estimating changes in carbon stock in biomass on land converted to Forest land,
according to the general principles set out in Chapter 3. Activity data can be obtained from national statistics,
from forest management agencies, conservation agencies, municipalities, survey and mapping agencies. Where

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reporting programs are used, it is good practice to implement verification procedures and cross-checks to ensure
complete and consistent representation of land converted to Forest land, to avoid omissions or double counting.
Data should be disaggregated according to the general climatic categories and forest types.

4
5

Inventories using higher Tiers will require more comprehensive information on the establishment of new forests,
with refined soil classes, climate, and spatial and temporal resolution.

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All changes in dead organic matter pools occurring over the number of years (T) selected as the transition period
should be included. Lands where the transitions occurred more than T years ago are transferred to and reported
under the category Forest land remaining Forest land.

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The fo llo wing summa rizes step s for estima ting cha nge in carbo n sto ck s in dead organic
ma tter using the defa ult methods
Step 1: Estimate area converted to Forest land (during the period 20 years prior to the year of inventory) from
other land categories such as, cropland, grassland and settlements. Refer to Chapter 3 for detailed approaches for
estimating land converted to Forest land.

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Step 2: The Tier 1 assumption is that dead organic matter (dead wood and litter) carbon stocks on non-forest
land are zero. If national data on dead wood and litter carbon stocks in non-forest land are available,
disaggregate the area converted to Forest land according to the land-use category of origin, e.g. grassland,
cropland etc. using the same categories for which dead organic matter estimates are available. Default values for
litter carbon stocks in Forest land are provided in Table 2.1. Statistically valid, regional default estimates for
dead wood carbon stocks in forests are not available.

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Step 3: Estimate the average annual increment of dead organic matter stocks, separately for dead wood and litter,
by dividing the difference in pre- and post-conversion carbon stocks by the time period of transition (Equation
2.23 in Chapter 2). The default Tier 1 assumption is that non-forest dead organic matter carbon stocks are zero
and that the period of transition is 20 years.

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Step 4: Estimate the annual change in carbon stock in dead organic matter on Land converted to Forest land by
multiplying the average annual increment (Step 3) times the area land of converted to Forest land over the past
20 (default) years.

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4.3.2.5

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In general, the magnitude of uncertainty in dead organic matter pools is larger than the uncertainty in biomass
estimates because much less data are typically available for DOM pools compared to biomass pools.
Uncertainties in area estimates made using the approaches suggested in Chapter 3 are indicated in Table 3.7 and
uncertainties in assessing dead organic matter carbon stock changes may be several times larger than the
uncertainty of biomass stock change estimates using default coefficients.

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Although relatively few estimates of uncertainty, in changes in carbon stock in DOM pools, are available in the
literature or elsewhere, several sources of uncertainty can be identified for the estimates of changes in carbon
stock in dead organic matter pools on land converted to Forest land. First, the assumption that carbon stocks in
DOM are zero in non-forest land is not always justified. Underestimating the true initial DOM stock size will
lead to overestimates of the true accumulation rates. Second, the default values for litter and dead wood carbon
stock sizes are likely to be biased by being based upon estimates from land that was Forest land for a long period
of time. Thus the stock sizes at the end of the transition period may be overestimated, again, leading to
overestimates of the accumulation rates. Third, the default transition period may be too long for litter carbon
stocks, leading to underestimates of the true accumulation rates. For the dead wood pool, however, the current
default assumption of a 20-year transition period is likely to be too short. Thus, the rate of carbon accumulation
in the dead wood pool may be overestimated.

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4.3.3

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Land conversions on mineral soils generally either maintain similar levels of C storage or create conditions that
increase soil C stocks, particularly if the land was previously managed for annual crop production (Post and
Kwon, 2000). However, under certain circumstances, grassland conversion to Forest land has been shown to
cause small C losses in mineral soils for several decades following conversion (Davis and Condron, 2002; Paul
et al., 2002). Emissions of C from organic soils will vary depending on the previous use and level of drainage.

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Soil Carbon

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Specifically, conversion from croplands will tend to decrease emissions; conversions from grasslands will likely
maintain similar emission rates; while conversion from wetlands often increases C emissions.

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General information and guidelines on estimating changes soil C stocks are found in Section 2.3.3 in Chapter 2
(including equations), and need to be read before proceeding with guidelines dealing with forest soil C stocks.
The total change in soil C stocks for Land Converted to Forests is computed using Equation 2.24 (Chapter 2),
which combines the change in soil organic C stocks for mineral soils and organic soils; and carbon stock changes
for inorganic soil C pools (Tier 3 only). This section provides specific guidance for estimating soil organic C
stock changes; see Section 2.3.3.1 (Chapter 2) for general discussion on soil inorganic C (no additional
information is provided in the Forest land discussion below).

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To account for changes in soil C stocks associated with Land Converted to Forest land, countries need to have,
at a minimum, estimates of the areas of land converted to forests during the inventory time period, stratified by
climate region and soil type. If land-use and management data are limited, Approach 1 activity data can be used
as a starting point, along with knowledge of country experts of the approximate distribution of land-use types
being converted. If previous lands uses and conversions for Land Converted to Forest land are unknown, SOC
stocks changes can still be computed using the methods provided in Forest land Remaining Forest land, but the
land base will likely be different for forests in the current year relative to the initial year in the inventory. It is
critical, however, that the total land area across all land-use sectors be equal over the inventory time period (e.g.,
If 5 Million ha is converted from cropland and grassland to forest land during the inventory time period, then
forest land will have an additional 5 Million ha in the last year of the inventory, while cropland and grassland
will have a corresponding loss of 5 Million ha in the last year), and the total change will be estimated when
summing SOC stocks across all land uses. Land Converted to Forest land is stratified according to climate
regions and major soil types, which could either be based on default or country-specific classifications. This can
be accomplished with overlays of climate and soil maps, coupled with spatially-explicit data on the location of
land conversions.

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Inventories can be developed using Tier 1, 2 or 3 approaches, with each successive Tier requiring more detail
and resources than the previous. It is possible that countries will use different tiers to prepare estimates for the
separate components in this source category (i.e., soil organic C stocks changes in mineral soils and organic soils;
and stock changes associated with soil inorganic C pools).

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4.3.3.1

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Inventories can be developed using Tier 1, 2 or 3 approaches and countries may choose different tiers for mineral
and organic soils. Decision trees are provided for mineral (Figure 2.4) and organic soils (Figure 2.5) in Section
2.3.3.1 (Chapter 2) to assist inventory compilers with selection of the appropriate tier for their soil C inventory.

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Minera l So ils
Tier 1: Change in soil organic C stocks can be estimated for mineral soils with land-use conversion to forests
using Equation 2.25 (Chapter 2). For Tier 1, the initial (pre-conversion) soil organic C stock (SOC(0-T)) and C
stock in the last year of the inventory time period (SOC0) are determined from the common set of reference soil
organic C stocks (SOCREF) and default stock change factors (FLU, FMG, FI) as appropriate for describing land use
and management both pre- and post-conversion. Note that area of exposed bedrock in Forest land or the previous
land use are not included in the soil C stock calculation (assume a stock of 0). Annual rates of stock changes are
calculated as the difference in stocks (over time) divided by the time dependence (D) of the stock change factors
(default is 20 years).

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Tier 2: The Tier 2 approach for mineral soils also uses Equation 2.25 (Chapter 2), but involves country or
region-specific reference C stocks and/or stock change factors and possibly more disaggregated land-use activity
and environmental data.

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Tier 3: Tier 3 approaches will involve more detailed and country-specific models and/or measurement-based
approaches along with highly disaggregated land-use and management data. It is good practice that Tier 3
approaches estimating soil C change from land-use conversions to forests, employ models, monitoring networks
and/or data sets that are capable of representing transitions over time from other land uses, including grasslands,
croplands, and possibly settlements or other land uses. It is important that models be evaluated with independent
observations from country or region-specific field locations that are representative of the interactions of climate,
soil and forest type/management on post-conversion change in soil C stocks.

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O rganic So ils
Tier 1 and Tier 2: Land Converted to Forest land on organic soils within the inventory time period is treated the
same as Forest land Remaining Forest land on organic soils. C losses for the newly converted Forest land are
computed using Equation 2.26 (Chapter 2) if the soils are drained. Additional guidance on the Tier 1 and 2
approaches are given in Section 4.3.3.1.

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Tier 3: Similar to mineral soils, a Tier 3 approach will involve country-specific models and/or measurementbased approaches along with highly disaggregated land-use and management data (see mineral soils above for
additional discussion).

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Minera l So ils
Tier 1: For native unmanaged land, as well as for managed forests, settlements and nominally managed
grasslands with low disturbance regimes, soil C stocks are assumed equal to the reference values (i.e., land use,
disturbance (forests only), management and input factors equal 1), but it will be necessary to apply the
appropriate stock change factors to represent other systems which may be converted to forest, such as improved
and degraded grasslands, as well as all cropland systems. See the appropriate land-use section for default stock
change factors (Cropland in Section 5.2.3.2, Grassland in 6.2.3.2, Forests in 4.2.3.2, Settlements in 8.2.3.2, and
Other Land in 9.3.3.2). Default reference C stocks are found in Table 2.3 (Chapter 2).

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Tier 2: Estimation of country-specific stock change factors is probably the most important development
associated with the Tier 2 approach. Differences in soil organic C stocks among land uses are computed relative
to a reference condition. If default reference C stocks are used, the reference condition is native vegetation that
is neither degraded nor improved through land-use and management practices. Stock change factors for land-use
conversion to native forests will be equal to 1 if the forest represents the reference condition. However, stock
change factors will need to be derived for Land Converted to Forest land that do not represent the reference
condition, accounting for the influence of disturbance (FD), input (FI) and management (FMG), which are then
used to further refine the C stocks of the new forest system. See the appropriate section for specific information
regarding the derivation of stock change factors for other land-use sectors (Grassland in Section 6.2.3.2,
Croplands in 5.2.3.2, Settlements in 8.2.3.2, and Other Land in 9.3.3.2).

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Reference C stocks can also be derived from country-specific data in a Tier 2 approach. However, reference
values should be consistent across the land uses (i.e., cropland, grassland, forests, settlements, other land), and
thus must be coordinated among the various teams conducting soil C inventories for AFOLU.

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Tier 3: Constant stock change rate factors per se are less likely to be estimated in favor of variable rates that
more accurately capture land-use and management effects. See Section 2.3.3.1 (Chapter 2) for further discussion.

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O rganic So ils
Tier 1 and Tier 2: Land Converted to Forest land on organic soils within the inventory time period is treated the
same as Forest land Remaining Forest land on organic soils, i.e., they have a constant emission factor applied to
them, based on climate regime. Tier 1 emission factors are given in Table 4.6 (Section 4.5), while Tier 2
emission factors are derived from country or region-specific data.

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Tier 3: Constant emission rate factors per se are less likely to be estimated in favor of variable rates that more
accurately capture land-use and management effects. See Section 2.3.3.1 in Chapter 2 for further discussion.

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4.3.3.3

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Minera l So ils
Tier 1 and Tier 2: For purposes of estimating soil carbon stock change, area estimates of Land Converted to
Forest land should be stratified according to major climate regions and soil types. This can be based on overlays
with suitable climate and soil maps and spatially-explicit data of the location of land conversions. Detailed
descriptions of the default climate and soil classification schemes are provided in Chapter 3. Specific
information is provided in the each of the land-use sections regarding treatment of land-use/management activity
data ((Cropland in Section 5.2.3.3, Grassland in 6.2.3.3, Forests in 4.2.3.3, Settlements in 8.2.3.3, and Other
Land in 9.3.3.3).

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One critical issue in evaluating the impact of Land Converted to Forest land on soil organic C stocks is the type
of land-use and management activity data. Activity data gathered using Approach 2 or 3 (see Chapter 3 for
discussion about Approaches) provide the underlying basis for determining the previous land use for Land
Converted to Forest land. In contrast, aggregate data (Approach 1, Chapter 3) only provide the total amount of
area in each land use and do not form a basis for determining specific transitions. Therefore the previous land
use before conversion to Forest land will be unknown. Fortunately, this is not problematic using Tier 1 or 2
methods because the calculation is not dynamic and assumes a step change from one equilibrium state to another.
Therefore, with aggregate data (Approach 1), changes in soil organic C stocks may be computed separately for
each land-use sector and then combined to obtain the total stock change. Some of the stock changes will result
from less or more land area in a particular sector, but such changes in the land base will be counter-balanced by a
concomitant increase or decrease in land area for another sector. Using this approach, it will be necessary for

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coordination among each sector to ensure the total land base is remaining constant over time, given that some
land area will be lost and gained within individual sectors during each inventory year due to land-use change.

3
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Tier 3: For application of dynamic models and/or a direct measurement-based inventory in Tier 3, similar or
more detailed data on the combinations of climate, soil, topographic and management data are needed, relative to
Tier 1 or 2 methods, but the exact requirements will be dependent on the model or measurement design.

6
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O rganic So ils
Tier 1 and Tier 2: Land Converted to Forest land on organic soils within the inventory time period is treated the
same as Forest land Remaining Forest land on organic soils; see Section 4.2.3.3.

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Tier 3: Similar to mineral soils, Tier 3 approaches will likely require more detailed data on the combinations of
climate, soil, topographic and management data are needed, relative to Tier 1 or 2 methods, but the exact
requirements will be dependent on the model or measurement design.

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4.3.3.4

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Minera l So ils
The steps for estimating SOC0 and SOC(0-T) and net soil C stock change per ha of land converted to forest are as
follows:

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Step 1: Determine the land-use and management by mineral soil types and climate regions for land at the
beginning of the inventory period, which can vary depending on the time step of the activity data (0-T; e.g., 5, 10
or 20 years ago).

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Step 2: Select the native reference C stock value (SOCREF), based on climate and soil type from Table 2.3, for
each area of land being inventoried. The reference C stocks are the same for all land-use categories to ensure
that erroneous changes in the C stocks are not computed due to differences in reference stock values among
sectors.

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Step 3: Select the land-use factor (FLU), management factor (FMG) and C input levels (FI) representing the landuse and management system present before conversion to forest. Values for FLU, FMG and FI are given in the
respective section for the land-use sector (Cropland in Chapter 5, Grassland in Chapter 6, Settlements in Chapter
8, and Other land in Chapter 9).

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Step 4: Multiply these values by the reference soil C stock to estimate of initial soil organic C stock (SOC(0-T))
for the inventory time period.

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Step 5: Estimate SOC0 by repeating step 1 to 4 using the same native reference C stock (SOCREF), but with landuse, management and input factors that represent conditions in the last (year 0) inventory year. For Tier 1, all
stock change factors are assumed equal to 1 for Forest land (although for Tier 2, different values for these factors
under newly converted Forest lands should be used, based on country-specific data).

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Step 6: Estimate the average annual change in soil C stock for the area over the inventory time period
(CCCMineral) (see Equation 2.25 in Chapter 2).

35

Step 7: Repeat steps 1 to 6 if there are additional inventory time periods (e.g., 1990 to 2000, 2001 to 2010, etc.).

36

A numerical example is given below for afforestation of cropland soil.

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Example: An area of 100,000 ha of cropland was planted to forest. The soil type is an Ultisol in a
tropical moist climate, which has a native reference stock, SOCRef (0-30 cm), of 47 tonnes C ha-1
(Table 2.3). The previous land use was annual row crops, with conventional tillage, no fertilization
and where crop residues are removed, so that the soil carbon stock at the beginning of the
inventory time period (In this example, 5 yrs earlier in 1995) was (SOCRef FLU FMG FI) = 47
tonnes C ha-1 0.48 1 0.92 = 20.8 tonnes C ha-1 (see Table 5.5, Chapter 5, for stock change
factor for cropland). Under Tier 1, managed forest is assumed to have the same soil C stock as the
reference condition (i.e. all stock change factors are equal to 1). Thus the average annual change in
soil C stock for the area over the inventory time period is estimated as (47 tonnes C ha-1 20.8
tonnes C ha-1) / 20 yrs = 1.3 tonnes C ha-1 yr-1. For the area reforested there is an increase of
131,000 tonnes C yr-1. (Note: 20 years is the time dependence of the stock change factor, i.e.,
factor represents annual rate of change over 20 years)

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Calculation steps are the same as described in Section 4.2.3.4 above.

4.3.3.5

3
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Uncertainty analyses for land converted to Forest land are fundamentally the same as Forest land remaining
Forest land. Three broad sources of uncertainty exists: 1) uncertainties in land-use and management activity and
environmental data; 2) uncertainties in reference soil C stocks if using Tier 1 or 2 approaches (mineral soils
only); and 3) uncertainties in the stock change/emission factors for Tier 1 or 2 approaches, model
structure/parameter error for Tier 3 model-based approaches, or measurement error/sampling variability
associated with a Tier 3 measurement-based inventories. See the uncertainty section in Forest land remaining
Forest land for additional discussion (Section 4.2.3.5).

10

4.3.4

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Non-CO 2 Greenhouse Gas Emissions from biomass


burning

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The guidance to estimate non-CO2 greenhouse gas emissions from biomass burning or fire on Land converted to
Forest land is discussed in Section 4.2.4. General guidance is also provided in Chapter 2 Section 2.4.

14

Guidance for estimating N2O emissions from forest soils is provided in Chapter 11.

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4.4 COMPLETENESS, TIME SERIES, QA/QC, AND


REPORTING AND DOCUMENTATION

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4.4.1

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Completeness is a requirement for greenhouse gas inventories, and it is good practice to address all forest carbon
gains and losses including harvested wood products. Greenhouse gas inventory for forestland should include all
land under forest and all land categories converted to forests. For completeness, it is good practice to include all
the carbon pools and non-CO2 greenhouse gases. Chapter 11, Section 11.2 provides advice on N2O emission
from drained organic soils. The forest area used for calculation for different carbon pools should be the same.
Emissions from organic soils and emissions or removals attributed to land-use change on mineral soils should be
estimated. Higher tiers include additional impacts of management and natural disturbance regimes on mineral
soil C stocks or emissions from organic soils, by incorporating country-specific information. A complete
accounting of emissions and removals of CO2 associated with Forest land remaining Forest lands and land
converted to Forest land, or from the effects of biomass burning in managed (and unmanaged, when applicable)
Forest land is necessary. It is good practice that all losses from biomass carbon pools that result in transfers to
dead organic matter pools are first accounted as changes to biomass carbon stocks. It is good practice that
countries using Tier 1 estimation methods do not account for carbon emissions from DOM pools during fire or
other disturbances because all DOM pool additions are assumed to have been released in the year of addition.
Consequently, Tier 1 methods also preclude the accounting of DOM pool increases following natural
disturbances.

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4.4.2

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It is good practice to develop a consistent time series of inventories of anthropogenic emissions and removals of
greenhouse gases for all AFOLU categories using the guidance in Volume 1 Chapter 5. Because activity data
may only be available every few years, achieving time series consistency may require interpolation or
extrapolation from longer time series or trends, possibly using information on changes in forest policies and
incentive schemes where drivers are needed.

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Consistent accounting over time of land areas included in biomass and soil C emissions and removals inventory
requires that activity data for all land-use categories be stratified by a common definition of climate and soil
types. Thus, areas subject to land-use change will not be lost or double-counted due to accounting errors
resulting from inconsistent definitions for climate and forest types and soil strata within other land-use categories.
To estimate emissions and removals of greenhouse gases, whether by Tier 1, 2 or 3, ideally the same protocol
(sampling strategy, method, etc.) should be applied consistently every year in the time series, at the same level of

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Developing a Consistent Times Series

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disaggregation, and, where country-specific data are used, it is good practice to use the same coefficients and
methods for equivalent calculations at all points in the time series.

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However, as inventory capacity and information and data sources availability improve over time, new sources
and sink categories should be included, or moving to higher tier, the methods and data used to calculate
estimates can be updated and refined. In these circumstances, consistent recalculation of historical emissions and
removals is a good practice. In some cases, if some historical data are missing, then they may need to be
estimated from other data sources. For example, the 2006 IPCC Guidelines now require estimation of emissions
of CO2 and non-CO2 from forests, which were not included under the 1966 Guidelines (refer to Chapter 1). The
level of knowledge and detail of emission estimates for soils will also improve over time, necessitating
recalculation of historic inventories to take account of new data and/or methods. Often, changes in forest soils
cannot be detected at time scale finer than a decade; it will be necessary to interpolate between measurements in
order to obtain annual estimates of emissions and removals. Changes in forest types, practices and disturbances
need to be tracked for long time periods determined for example by soil carbon dynamics or forest rotation periods
where these are specifically tracked in detailed model calculations.

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18
19
20
21
22
23

Where countries use Tier 1 methods, estimates of DOM stock changes are only provided in the case of land-use
change to or from forest. It is good practice to recalculate the entire time series of data if either the default values
for litter and dead wood carbon pools or the lengths of the transition periods are changed. It is also good practice to
recalculate the entire time series of estimates if revisions to activity data, such as the rate of land-use change, have
occurred. As more ground plot and other sample data on dead wood and litter carbon stocks become available in the
future, countries are likely to improve the models used in higher Tier estimation procedures. It is good practice to
use the same model parameter values (such as litterfall rates, decay rates, disturbance impacts) for the entire time
series and to recalculate the entire time series if one or more of the model parameters have changed. Failure to do so
may result in artificial sources or sinks, for example as a result of decay rate modifications.

24

4.4.3

25
26
27
28
29

The characteristics of the greenhouse gas inventory estimate of forest can have different level of precision,
accuracy and levels of bias. Moreover, the estimates are influenced by the quality and consistency of data and
information available in a country, as well as gaps in knowledge. In addition, depending on the tier level used by
a country, estimates can be affected by different sources of errors, such as sampling errors, assessment errors,
classification errors in remote sensing imagery, and modeling errors that can propagate to the total estimation.

30
31
32
33
34
35
36

It is good practice to execute quality control checks through Quality Assurance (QA) and Quality Control (QC)
procedures, and expert review of the emission estimation procedures. Additional quality control checks as
outlined in Tier 2 procedures in Volume 1 Chapter 6, and quality assurance procedures may also be applicable,
particularly if higher Tier methods are used to estimate emissions. It is good practice to supplement the general
QA/QC related to data processing, handling, and reporting and documenting, with source-specific category
procedures. QA/QC procedures should be documented separately for Forest land remaining Forest land and for
Land converted to Forest land.

37
38
39
40
41
42
43
44
45
46

Agencies which collect data are responsible for reviewing the data collection methods, checking the data to
ensure that they are collected and aggregated or disaggregated correctly, and cross-checking the data with other
data sources and with previous years to ensure that the data are realistic, complete and consistent over time. FAO
data needs to cross checked with other national sources for accuracy and consistency. The basis for the estimates
(e.g., statistical surveys or desk estimates) must be reviewed and described as part of the QC process.
Documentation is a crucial component of the review process because it enables reviewers to identify inaccuracy,
gaps and suggest improvements. Documentation and transparency in reporting is most important for highly
uncertain source categories and to give reasons for divergences between country-specific factors and default or
factors used by other countries. Countries with similar (ecological) conditions are encouraged to collaborate in
the refinements of methods, emissions factors and uncertainty assessment.

47
48
49
50
51
52
53
54
55
56

Activity data check: The inventory agency should, where possible, check data comprising of all managed land
areas, using independent sources and compare them. For many countries FAO database could be the main source
and in such a case the data must be cross-checked with other sources. Any differences in area records should be
documented for the purposes of review. Activity data area totals should be summed across all land-use
categories to ensure that total area involved in the inventory and its stratification across climate and soil types
remains constant over time. This ensures that Forest land areas are neither created nor lost over time, which
would result in major errors in the inventory. When using country-specific data (such as data on standing
biomass and biomass growth rates, carbon fraction in above-ground biomass and biomass expansion factors, and
synthetic fertilizer consumption estimates) the inventory agency should compare them to the IPCC default values
or the Emission Factor database and note the differences.

Quality Assurance and Quality Control

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The country-specific parameters should be of high quality, preferably peer-reviewed experimental data,
adequately described, and documented. The agencies performing the inventory are encouraged to ensure that
good practice methods have been used and the results peer-reviewed. Assessments on test areas can be used to
validate the reliability of figures reported.

5
6
7
8
9
10
11
12
13

Internal and external review: The review processes as set out in Volume 1, Chapter 8 should be undertaken by
experts preferably not directly involved in the inventory development. The inventory agency should utilize
experts in greenhouse gas removals and emissions in AFOLU to conduct expert peer-review of the methods and
data used. Given the complexity and uniqueness of the parameters used in calculating country-specific factors
for some categories, selected specialists in the field should be involved in such reviews. If soil factors are based
on direct measurements, the inventory agency should review the measurements to ensure that they are
representative of the actual range of environmental and soil management conditions, and inter-annual climatic
variability, and were developed according to recognized standards. The QA/QC protocol in effect at the sites
should also be reviewed and the resulting estimates compared between sites and with default-based estimates.

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15
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17
18
19
20
21
22
23
24
25
26
27
28

It is good practice that countries using Tier 1 methods review and, if necessary, revise the default assumptions
for carbon stocks in litter and dead wood pools which are required for estimation of carbon losses following
deforestation. Countries that use higher tier methods are encouraged to calculate intermediate indicators of the
models used to develop estimates of DOM stock changes. For example, QA/QC procedures could compare
estimates of stock sizes, litterfall inputs, decay losses etc. against literature values and other peer-reviewed
publications. Where possible, it is also good practice to compare model estimates against field measurements
and other data sources. One QA/QC check that is easily implemented in modelling systems is to calculate an
internal mass balance to ensure that the model neither produces nor loses carbon that is not reported as a source
or a sink. For example, conservation of mass requirements include that losses from biomass pools are either
accounted as input to the DOM pools, are transferred outside of the forest ecosystem or released to the
atmosphere (in case of fire). Further, harvest data can be used to check transfer (stop loss) estimates produced by
models. A second QA/QC procedure that can be implemented in countries that use higher Tier estimation
methods is to establish upper and lower bounds for DOM pools stratified by regions, forest type, and soil type
(organic vs. mineral soils). Any values, reported in inventories or estimated by models that fall outside these
bounds can be investigated further.

29

4.4.4

30
31
32
33
34
35
36

General requirements for reporting and documentation are set out in Volume 1, Chapter 8. In general it is good
practice to archive and document all data and information (such as figures, statistics, sources of assumptions,
modeling approaches, uncertainty analyses validation studies, inventory methods, research experiments,
measurements arising from field site studies, associated protocols, and other basic data) applied to produce the
national emissions/removals inventory. Elaborations on carbon pool definitions should be reported, and
definitions relevant to determining the extent of the managed land included in the inventory, together with
evidence that these definitions have been applied consistently over time provided.

37
38
39
40
41
42
43
44
45
46
47

Documentation is needed for demonstrating completeness, consistency of time series data and methods for
interpolating between samples, methods and years, and for recalculating and avoidance of double counting as
well as for performing QA/QC. As inventory compilers decide to progress through higher tier levels, whose
calculation methods and data are not described in the present volume or characterized by more disaggregated
approaches, additional documentation is required to support the use of more advanced and accurate
methodologies, country-defined parameters, and high resolution maps and data sets. However, at all tier levels,
explanation is needed for decisions regarding choice of methodology, coefficients, and activity data. The aim is
to facilitate reconstruction of estimates by independent third parties, but it may prove impractical to include all
documentation necessary in national inventory report. The inventory should therefore include summaries of
approaches and methods used, and references to source of data such that the reported emissions estimates are
transparent and steps adopted in their calculation may be retraced.

48
49
50
51
52
53
54
55

Emission factors: Sources of the emission or removal factors that were used (specific IPCC default values or
otherwise) have to be quoted. If country- or region- or forest type specific emission factors were used, and if new
methods (other than the default IPCC methods) were used, the scientific basis of these emission factors and
methods should be completely described and documented. This includes defining the input parameters and
describing the process by which these emission factors and methods are derived, as well as describing sources
and magnitudes of uncertainties. Inventory agencies using country-specific emission factors should provide
information on the basis of selection of a different factor, describe how it was derived, compare it to other
published emission factors, explain any significant differences, and attempt to place bounds on uncertainty.

56
57

Activity data: Sources of all activity data, such as areas, soil types and characteristics and vegetation covers,
used in the calculations should be provided (i.e. complete citations for statistical databases from which data were

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drawn). Reference to the metadata for the databases are useful, including information on dates and frequency of
data collection, sampling procedures, analytical procedures used to obtain soil characteristics and minimum
detectable change in organic carbon, and estimates of accuracy and precision. When activity data were not
obtained directly from databases, the information and assumptions that were used to derive the activity data
should be provided, as well as estimates of the uncertainty associated to the derived activity data. This applies in
particular when scaling up procedures are used to derive large-scale estimates; in these cases the statistical
procedures should be described along with the associated uncertainty.

8
9
10
11
12
13
14
15

Results of model simulations: If inventory agencies used data output from models in their estimation
procedures, the rationale for model selection and use should be provided. It is a good practice to provide
complete citations of peer-reviewed publications in which the model is described, and modelling results are
interpreted and validated. Detailed information should be provided to enable reviewers to assess the models
validity, including the general modeling approach, key model assumptions, input and output data, parameter
values and parameterization procedures, confidence intervals of model outputs, and the outcome of any
sensitivity analysis conducted on the output. In addition, computer source code for models should be
permanently archived for future reference, along with all the input and output files.

16
17
18
19

Analysis of emissions: Significant fluctuations in emissions between years should be explained. A distinction
should be made between changes in activity levels and changes in emission coefficients from year to year, and
the reasons for these changes documented. If different emission factors are used for different years, the reasons
for this should be explained and documented.

20

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1

4.5 TABLES

2
TABLE 4.1
CLIMATE DOMAINS (FAO, 2001), CLIMATE REGIONS (CHAPTER 2), AND ECOLOGICAL ZONES (FAO 2001)
Climate Domain
Domain

Domain
Criteria

Region
Tropical wet

Tropical

Sub
tropical

Temperate

Boreal

Polar

all months
without frost;
in marine
areas,
temperature
>18C

8 months at
a temperature
>10C

4-8 months at
a temperature
>10C

3 months at
a temperature
>10C
all months
<10C

Ecological Zone

Climate
Zone

Code

Zone Criteria

Tropical rain forest

TAr

Tropical moist deciduous forest

TAwa

Tropical dry forest

TAWb

Tropical shrubland
Tropical desert

TBSh
TBWh

Tropical montane

Tropical mountain systems

TM

Warm temperate
moist

Subtropical humid forest

SCf

humid: no dry season

Warm temperate
dry

Subtropical dry forest


Subtropical steppe
Subtropical desert

SCs
SBSh
SBWh

seasonally dry: winter rains, dry summer


semi-arid: evaporation >precipitation
arid: all months dry

Warm temperate
moist or dry

Subtropical mountain systems

SM

altitudes approximately 800 m-1000 m

Temperate oceanic forest

TeDo

Temperate continental forest

TeDc

Cool temperate
dry
Cool temperate
moist or dry
Boreal moist
Boreal dry
Boreal moist or dry

Temperate steppe
Temperate desert

TeBSk
TeBWk

oceanic climate: coldest month >0C


continental climate:
coldest month <0C
semi-arid: evaporation > precipitation
arid: All months dry

Temperate mountain systems

TeM

altitudes approximately >800 m

Boreal coniferous forest


Boreal tundra woodland
Boreal mountain systems

Ba
Bb
BM

coniferous dense forest dominant


Woodland and sparse forest dominant
altitudes approximately >600 m

Polar moist or dry

Polar

all months <10C

Tropical moist

Tropical dry

Cool temperate
moist

wet: 3 months dry, during winter


mainly wet: 3-5 months dry, during
winter
mainly dry: 5-8 months dry, during
winter
semi-arid: evaporation > precipitation
arid: all months dry
altitudes approximately >1000 m, with
local variations

Climate Domain: Area of relatively homogenous temperature regime, equivalent to the Kppen-Trewartha climate groups (Kppen 1931)
Climate Region: Areas of similar climate defined in Chapter 2 for reporting across different carbon pools
Ecological Zone: Area with broad, yet relatively homogeneous natural vegetation formations that are similar, but not necessarily identical,
in physiognomy
Dry Month: A month in which total precipitation (mm) 2 x mean temperature (C)

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TABLE 4.2
FOREST AND LAND COVER CLASSES
Forest or Land Cover Class

Forest

Definition

Land spanning more than 0.5 hectares with trees higher than 5 meters
and a canopy cover of more than 10 percent, or trees able to reach
these thresholds in situ. It does not include land that is predominantly
under agricultural or urban land use.
Forest is determined both by the presence of trees and the absence of
other predominant land uses. The trees should be able to reach a
minimum height of 5 meters (m) in situ. Areas under reforestation that
have not yet reached but are expected to reach a canopy cover of 10
percent and tree height of 5 m are included, as are temporarily
unstocked areas, resulting from human intervention or natural causes,
which are expected to regenerate.
Includes: areas with bamboo and palms provided that height and
canopy cover criteria are met; forest roads, firebreaks and other small
open areas; forest in national parks, nature reserves and other
protected areas such as those of specific scientific, historical, cultural
or spiritual interest; windbreaks, shelterbelts and corridors of trees
with an area of more than 0.5 ha and width of more than 20 m;
plantations primarily used for forestry or protective purposes, such as
rubber-wood plantations and cork oak stands.
Excludes: tree stands in agricultural production systems, for example
in fruit plantations and agroforestry systems. The term also excludes
trees in urban parks and gardens.

Other wooded Land

Land not classified as Forest, spanning more than 0.5 hectares; with
trees higher than 5 m and a canopy cover of 5-10 percent, or trees able
to reach these thresholds in situ; or with a combined cover of shrubs,
bushes and trees above 10 percent. It does not include land that is
predominantly under agricultural or urban land use.

Other land

All land that is not classified as forest or other Wooded Land.


Includes: agricultural land, meadows and pastures, built-up areas,
barren land, etc; areas classified under the subcategory other land
with tree cover.

Other land with tree cover

Land classified as other land, spanning more than 0.5 hectares with a
canopy cover of more than 10 percent of trees able to reach a height
of 5 meters at maturity.
Includes: groups of trees and scattered trees in agricultural landscapes,
parks, gardens and around buildings, provided that the area, height
and canopy cover criteria is met; tree plantations established mainly
for other purposes than wood, such as fruit orchards and palm
plantations

Source: FAO. 2006. Global Forest Resources Assessment 2005 progress towards sustainable forest management.
FAO Forestry Paper No. 147. Rome.

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Domain
default
value

Tropical
and
Subtropical

Temperate
and Boreal

TABLE 4.3
CARBON FRACTION OF ABOVEGROUND FOREST BIOMASS
-1
TONNES C (TONNES DRY MATTER)
Part of Tree
Carbon Fraction (CF)
all

0.47

all

0.47 (0.44-0.49)

wood
wood, tree d < 10 cm
wood, tree d 10 cm
foliage
foliage, tree d < 10 cm
foliage, tree d 10 cm

0.49
0.46
0.49
0.47
0.43
0.46

all

0.47 (0.47-0.49)

broad-leaved

0.48 (0.46-0.50)

conifers

0.51 (0.47-0.55)

References

McGroddy et al. 2004


Andreae and Merlet 2001,
Chambers et al. 2001,
McGroddy et al. 2004,
Lasco and Pulhin 2003
Feldpausch et al. 2004
Hughes et al. 2000
Hughes et al. 2000
Feldpausch et al. 2004
Hughes et al. 2000
Hughes et al. 2000
Andreae and Merlet 2001,
Gayoso et al. 2002,
Matthews 1993,
McGroddy et al. 2004
Lamlom and Savidge 2003
Lamlom and Savidge 2003

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TABLE 4.4
RATIO OF BELOW-GROUND BIOMASS TO ABOVE-GROUND BIOMASS (R); TONNES ROOT DRY MATTER (TONNES SHOOT
-1
DRY MATTER )
Domain

Ecological Zone

Tropical rainforest
Tropical moist deciduous forest
Tropical
Tropical dry forest

0.37
aboveground biomass
<125 t ha-1
aboveground biomass
>125 t ha-1
aboveground biomass
<20 t ha-1
aboveground biomass
>20 t ha-1

Tropical shrubland
Tropical mountain systems
Subtropical humid forest

Subtropical
Subtropical dry forest

aboveground biomass
<125 t ha-1
aboveground biomass
>125 t ha-1
aboveground biomass
<20 t ha-1
aboveground biomass
>20 t ha-1

References
Fittkau and Klinge 1973

0.20 (0.09-0.25)

Mokany et al. 2006

0.24 (0.22-0.33)

Mokany et al. 2006

0.56 (0.28-0.68)

Mokany et al. 2006

0.28 (0.27-0.28)

Mokany et al. 2006

0.40
0.27 (0.27-0.28)

Poupon 1980
Singh et al. 1994

0.20 (0.09-0.25)

Mokany et al. 2006

0.24 (0.22-0.33)

Mokany et al. 2006

0.56 (0.28-0.68)

Mokany et al. 2006

0.28 (0.27-0.28)

Mokany et al. 2006

Subtropical steppe
Subtropical mountain systems

Boreal

0.32 (0.26-0.71) Mokany et al. 2006


noestimateavailable
Mokany et al. 2006
conifers aboveground
0.40 (0.21-1.06)
biomass
< 50 t ha-1
conifers aboveground
Mokany et al. 2006
0.29 (0.24-0.50)
biomass50-150 t ha-1
conifers aboveground
Mokany et al. 2006
0.20 (0.12-0.49)
biomass > 150 t ha-1
Quercus spp.
aboveground biomass 0.30 (0.20-1.16) Mokany et al. 2006
>70 t ha-1
Eucalyptus spp.
aboveground biomass < 0.44 (0.29-0.81) Mokany et al. 2006
50 t ha-1
Temperate oceanic forest,
Eucalyptus spp.
Temperate continental forest,
aboveground biomass 0.28 (0.15-0.81) Mokany et al. 2006
Temperate mountain systems
50-150 t ha-1
Eucalyptus spp.
aboveground biomass > 0.20 (0.10-0.33) Mokany et al. 2006
150 t ha-1
Mokany et al. 2006
other broadleaf
aboveground biomass < 0.46 (0.12-0.93)
-1
75 t ha
Mokany et al. 2006
other broadleaf
aboveground biomass 0.23 (0.13-0.37
-1
75-150 t ha
Mokany et al. 2006
other broadleaf
aboveground biomass 0.24 (0.17-0.44)
-1
>150 t ha
aboveground biomass
0.39 (0.23-0.96) Li et al. 2003, Mokany et al. 2006
Boreal coniferous forest, Boreal
<75 t ha-1
tundra woodland, Boreal
aboveground biomass
mountain systems
0.24 (0.15-0.37) Li et al. 2003, Mokany et al. 2006
>75 t ha-1

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TABLE 4.5
DEFAULT BIOMASS CONVERSION AND EXPANSION FACTORS (BCEF), TONNES BIOMASS (M3

OF WOOD VOLUME)

-1

BCEF for expansion of merchantable growing stock volume to aboveground biomass (BCEFS), for conversion of net annual increment (BCEFI) and for conversion of wood and fuelwood removal volume to
aboveground biomass removal (BCEFR)
Climatic Zone

Forest type

Boreal
pines

larch

firs and spruces

hardwoods

4.48

Growing Stock Level (m3)

BCEF
<20

21-50

51-100

>100

BCEFS

1.2 (0.85-1.3)

0.68 (0.5-0.72)

0.57 (0.52-065)

0.5 (0.45-0.58)

BCEFI

0.47

0.46

0.46

0.463

BCEFR

1.33

0.75

0.63

0.55

BCEFS

1.22 (0..9-1.5

0.78 (0.7-0.8

0.77 (0.7-0.85

0.77 (0.7-0.85

BCEFI

0.9

0.75

0.77

0.77

BCEFR

1.35

0.87

0.85

0.85

BCEFS

1.6 (0.8-1.5)

0.66 (0.55-0.75)

0.58 (0.5-0.65)

0.53 (0.45-0.605)

BCEFI

0.55

0.47

0.47

0.464

BCEFR

1.78

0.73

0.64

0.59

BCEFS

0.9 (0.7-1.2)

0.7 (0.6-0.75)

0.62 (0.53-0.7)

0.55 (0.5-0.65)

BCEFI

0.65

0.54

0.52

0.505

BCEFR

1.0

0.77

0.69

0.61

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TABLE 4.5 (CONTINUED)
DEFAULT BIOMASS CONVERSION AND EXPANSION FACTORS (BCEF), TONNES BIOMASS (M3

OF WOOD VOLUME)

-1

BCEF for expansion of merchantable growing stock volume to aboveground biomass (BCEFS), for conversion of net annual increment (BCEFI) and for conversion of wood and fuelwood removal volume to
aboveground biomass removal (BCEFR)
Climatic Zone

Forest type

Temperate
hardwoods

pines

other conifers

Mediterranean, dry
tropical, subtropical

hardwoods

conifers

Growing Stock Level (m3)

BCEF
<20

21-40

41-100

100 -200

>200

BCEFS

3 (0.8-4.5)

1.7 (0.8-2.6)

1.4 (0.7-1.9)

1.05 (0.6-1.4)

0.8 (0.55-1.1)

BCEFI

1.5

1.3

0.9

0.6

0.48

BCEFR

3.33

1.89

1.55

1.17

0.89

BCEFS

1.8 (0.6 -2.4)

1.0 (0.65 -1.5)

0.75 (0.6-1.0)

0.7 (0.4-1)

0.7 (0.4-1)

BCEFI

1.5

0.75

0.6

0.67

0.69

BCEFR

2.0

1.11

0.83

0.77

0.77

BCEFS

3 (0.7-4)

1.4 (0.5-2.5)

1.0 (0.5-1.4)

0.75 (0.4-1.2)

0.7 (0.35-0.9)

BCEFI

1.0

0.83

0.57

0.53

0.60

BCEFR

3.33

1.55

1.11

0.83

0.77

<20

21-40

41-80

>80

BCEFS

5 (2-8)

1.9 (1-2.6)

0.8 (0.6-1.4)

0.66 (0.4-0.9)

BCEFI

1.5

0.5

0.55

0.66

BCEFR

5.55

2.11

0.89

0.73

BCEFS

6 (3-8)

1.2 (0.5-2)

0.6 (0.4-0.9)

0.55 (0.4-0.7

BCEFI

1.5

0.4

0.45

0.54

BCEFR

6.67

1.33

0.67

0.61

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TABLE 4.5 (CONTINUED)
DEFAULT BIOMASS CONVERSION AND EXPANSION FACTORS (BCEF), TONNES BIOMASS (M3

OF WOOD VOLUME)

-1

BCEF for expansion of merchantable growing stock volume to aboveground biomass (BCEFS), for conversion of net annual increment (BCEFI) and for conversion of wood and fuelwood removal volume to
aboveground biomass removal (BCEFR)
Climatic Zone

Forest type

Humid tropical
conifers

natural forests

Growing Stock Level (m3)

BCEF
<10

11-20

21-40

41-60

61-80

80-120

120-200

>200

BCEFS

4 (3-6)

1.75 (1.4-2.4)

1.25 (1-1.5)

1 (0.8-1.2)

0.8 (0.7-1..2)

0.76 (0.6-1)

0.7 (0.6-0.9)

0.7 (0.6-0.9)

BCEFI

2.5

0.95

0.65

0.55

0.53

0.58

0.66

0.70

BCEFR

4.44

1.94

1.39

1.11

0.89

0.84

0.77

0.77

BCEFS

9 (4-12)

4 (2.5-4.5)

2.8 (1.4-3.4)

2.05 (1.2-2.5)

1.7 (1.2-2.2)

1.5 (1-1.8)

1.3(0.9-1.6)

0.95 (0.7-1.1)

BCEFI

4.5

1.6

1.1

0.93

0.9

0.87

0.86

0.85

BCEFR

10.0

4.44

3.11

2.28

1.89

1.67

1.44

1.05

Note: Lower values of the ranges for BCEFS apply if growing stock definition includes branches, stem tops and cull trees; upper values apply if branches and tops are not part of growing stock, minimum top
diameters in the definition of growing stock are large, inventoried volume falls near the lower category limit or basic wood densities are relatively high. Continuous graphs, functional forms and updates with
new studies can be found at the forest- and climate- change website at
http://www.fao.org/forestry/foris/webview/forestry2/index.jsp?siteId=3284&sitetreeId=9830&langId=1&geoId=0
Average BCEF for inhomogeneous forests should be derived as far as possible as weighted averages. It is good practice to justify the factors chosen. To apply BCEFI, an estimate of the current average
growing stock is necessary. It can be derived from FRA 2005 at http://www.fao.org/forestry/index.jsp

BCEFR values are derived by dividing BCEFS by 0.9


Sources: Boreal forests: Alexeyev, V.A. and R.A.Birdseye.1998; Fang,J. and Z.M. Wang.2001; temperate forests: Fang,J. et al. 2001;Fukuda, M. et.al.2003; Schroeder, P. et al. 1997; Snowdon, P. et.al.
2000;Smith,J. et. al. 2002;Brown.S.1999; Schoene,D. and A.Schulte.1999; Smith,J. et al.2004; Mediterranean forests: Vayreda et.al.2002; Gracia et.al.2002; tropical forests: Brown,S. et al. 1989; Brown.S.
and A. Lugo.1992; Brown,S. 2002; Fang, J.Y. 2001.

2
3
4

4.50

Draft 2006 IPCC Guidelines for National Greenhouse Gas Inventories

Chapter 4: Forest land

DO NOT CITE OR QUOTE


Government Consideration

1
TABLE 4.6
EMISSION FACTORS FOR DRAINED ORGANIC SOILS IN MANAGED FORESTS

Climate

Emissions factors (tonnes C ha-1 yr-1)


Values

Ranges

Tropical

1.36

0.82 3.82

Temperate

0.68

0.41 1.91

Boreal

0.16

0.08 1.09

2
3

Draft 2006 IPCC Guidelines for National Greenhouse Gas Inventories

4.51

Volume 4. Agriculture, Forestry and Other Land Use

DO NOT CITE OR QUOTE

Government Consideration
1

Domain

TABLE 4.7
ABOVE-GROUND BIOMASS IN FORESTS
(TONNES DRY MATTER HA-1)
AboveEcological Zone
Continent
ground
Biomass
Tropical rain forest

Tropical moist deciduous forest

Tropical

Tropical dry forest

Tropical shrubland

Tropical mountain systems

Subtropical humid forest

Subtropical dry forest


Subtropical
Subtropical steppe

Subtropical mountain systems

Temperate oceanic forest

Temperate

Temperate continental forest

Temperate mountain systems

Boreal coniferous forest


Boreal tundra woodland
Boreal
Boreal mountain systems

References

Africa

310 (130-510)

North and South America

300 (120-400)

Asia (continental)
Asia (insular)
Africa
North and South America
Asia (continental)
Asia (insular)
Africa
North and South America
Asia (continental)
Asia (insular)
Africa
North and South America
Asia (continental)
Asia (insular)
Africa
North and South America
Asia (continental)
Asia (insular)
North and South America
Asia (continental)
Asia (insular)
Africa
North and South America
Asia (continental)
Asia (insular)
Africa
North and South America
Asia (continental)
Asia (insular)
Africa
North and South America
Asia (continental)
Asia (insular)
Europe

280 (120-680)
350 (280-520)
260 (160-430)
220 (210-280)
180 (10-560)
290
120 (120-130)
210 (200-410)
130 (100-160)
160
70 (20-200)
80 (40-90)
60
70
40-190
60-230
50-220
50-360
220 (210-280)
180 (10-560)
290
140
210 (200-410)
130 (100-160)
160
70 (20-200)
80 (40-90)
60
70
50
60-230
50-220
50-360
120

North America

660 (80-1200)

New Zealand

360 (210-430)

South America

180 (90-310)

Asia, Europe (20 y)


Asia, Europe (>20 y)
North and South America
(20 y)
North and South America
(>20 y)
Asia, Europe (20 y)
Asia, Europe (>20 y)
North and South America
(20 y)
North and South America
(>20 y)
Asia, Europe, North
America
Asia, Europe, North
America (20 y)
Asia, Europe, North
America (>20 y)
Asia, Europe, North
America (20 y)
Asia, Europe, North
America (>20 y)

20
120 (20-320)

IPCC 2003
Baker et al. 2004a,
Hughes et al. 1999
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
Sebei et al. 2001
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
Monts et al. 2002
IPCC 2003
IPCC 2003
IPCC 2003
Hessl et al. 2004,
Smithwick et al. 2002
Hall et al. 2001
Gayoso and Schlegel 2003,
Battles et al 2002
IPCC 2003
IPCC 2003

60 (10-130)

IPCC 2003

130 (50-200)

IPCC 2003

100 (20-180)
130 (20-600)

IPCC 2003
IPCC 2003

50 (20-110)

IPCC 2003

130 (40-280)

IPCC 2003

10-90

Gower et al. 2001

3-4

IPCC 2003

15-20

IPCC 2003

12-15

IPCC 2003

40-50

IPCC 2003

4.52

Draft 2006 IPCC Guidelines for National Greenhouse Gas Inventories

Chapter 4: Forest land

DO NOT CITE OR QUOTE


Government Consideration

Domain

TABLE 4.8
ABOVE-GROUND BIOMASS IN FOREST PLANTATIONS
(TONNES DRY MATTER HA-1)
AboveEcological Zone
Continent
ground
Biomass

Tropical rain forest

Tropical moist deciduous forest

Tropical

Tropical dry forest

Tropical shrubland

Tropical mountain systems

Subtropical
Subtropical humid forest

Subtropical dry forest

Subtropical steppe

Africa broadleaf > 20 y


Africa broadleaf 20 y
Africa Pinus sp. > 20 y
Africa Pinus sp. 20 y
Americas Eucalyptus sp.
Americas Pinus sp.
Americas Tectona grandis
Americas other broadleaf
Asia broadleaf
Asia other
Africa broadleaf > 20 y
Africa broadleaf 20 y
Africa Pinus sp. > 20 y
Africa Pinus sp. 20 y
Americas Eucalyptus sp.
Americas Pinus sp.
Americas Tectona grandis
Americas other broadleaf
Asia broadleaf
Asia other
Africa broadleaf > 20 y
Africa broadleaf 20 y
Africa Pinus sp. > 20 y
Africa Pinus sp. 20 y
Americas Eucalyptus sp.
Americas Pinus sp.
Americas Tectona grandis
Americas other broadleaf
Asia broadleaf
Asia other
Africa broadleaf
Africa Pinus sp. > 20 y
Africa Pinus sp. 20 y
Americas Eucalyptus sp.
Americas Pinus sp.
Americas Tectona grandis
Americas other broadleaf
Asia broadleaf
Asia other
Africa broadleaf > 20 y
Africa broadleaf 20 y
Africa Pinus sp. > 20 y
Africa Pinus sp. 20 y
Americas Eucalyptus sp.
Americas Pinus sp.
Americas Tectona grandis
Americas other broadleaf
Asia broadleaf
Asia other
Americas Eucalyptus sp.
Americas Pinus sp.
Americas Tectona grandis
Americas other broadleaf
Asia broadleaf
Asia other
Africa broadleaf > 20 y
Africa broadleaf 20 y
Africa Pinus sp. > 20 y
Africa Pinus sp. 20 y
Americas Eucalyptus sp.
Americas Pinus sp.
Americas Tectona grandis
Americas other broadleaf
Asia broadleaf
Asia other
Africa broadleaf
Africa Pinus sp. > 20 y

Draft 2006 IPCC Guidelines for National Greenhouse Gas Inventories

300
100
200
60
200
300
240
150
220
130
150
80
120
40
90
270
120
100
180
100
70
30
60
20
90
110
90
60
90
60
20
20
15
60
60
50
30
40
30
60-150
40-100
30-100
10-40
30-120
60-170
30-130
30-80
40-150
25-80
140
270
120
100
180
100
70
30
60
20
110
110
90
60
90
60
20
20

References
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
Kraenzel et al. 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
Stape et al. 2004
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
Stape et al. 2004
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003

4.53

Volume 4. Agriculture, Forestry and Other Land Use

DO NOT CITE OR QUOTE

Government Consideration
TABLE 4.8
ABOVE-GROUND BIOMASS IN FOREST PLANTATIONS
(TONNES DRY MATTER HA-1)

Subtropical mountain systems

Temperate oceanic forest

Temperate

Temperate continental forest


and mountain systems

Boreal coniferous forest and


mountain systems
Boreal
Boreal tundra woodland

Africa Pinus sp. 20 y


Americas Eucalyptus sp.
Americas Pinus sp.
Americas Tectona grandis
Americas other broadleaf
Asia broadleaf > 20 y
Asia broadleaf 20 y
Asia coniferous > 20 y
Asia coniferous 20 y
Africa broadleaf > 20 y
Africa broadleaf 20 y
Africa Pinus sp. > 20 y
Africa Pinus sp. 20 y
Americas Eucalyptus sp.
Americas Pinus sp.
Americas Tectona grandis
Americas other broadleaf
Asia broadleaf
Asia other
Asia, Europe,
broadleaf > 20 y
Asia, Europe,
broadleaf 20 y
Asia, Europe,
coniferous > 20 y
Asia, Europe,
coniferous 20 y
North America

15
60
60
50
30
80
10
20
100-120
60-150
40-100
30-100
10-40
30-120
60-170
30-130
30-80
40-150
25-80

New Zealand

150-350

South America
Asia, Europe,
broadleaf > 20 y
Asia, Europe,
broadleaf 20 y
Asia, Europe,
coniferous > 20 y
Asia, Europe,
coniferous 20 y
North America
South America
Asia, Europe > 20 y
Asia, Europe 20 y
North America
Asia, Europe > 20 y
Asia, Europe 20 y
North America

200
30
150-250
40
50-300

90-120
200
15
150-200
25-30
50-300
90-120
40
5
40-50
25
5
25

IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
Hinds and Reid 1957, Hall
and Hollinger 1997, Hall
2001
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003

1
2

4.54

Draft 2006 IPCC Guidelines for National Greenhouse Gas Inventories

Chapter 4: Forest land

DO NOT CITE OR QUOTE


Government Consideration

Domain

TABLE 4.9
ABOVE-GROUND NET BIOMASS GROWTH IN NATURAL FORESTS
(TONNES DRY MATTER HA-1 Y-1)
Aboveground
Ecological Zone
Continent
Biomass
Growth

Tropical rain forest

Tropical moist deciduous forest

Tropical

Tropical dry forest

Tropical shrubland

Tropical mountain systems

Sub tropical
Subtropical humid forest

Subtropical dry forest

Africa (20 y)
Africa (>20 y)

10
3.1 (2.3-3.8)

North America

0.9-18

South America (20 y)


South America (>20 y)
Asia (continental 20 y)
Asia (continental >20 y)
Asia (insular 20 y)
Asia (insular >20 y)
Africa (20 y)
Africa (>20 y)
North and South America
(20 y)
North and South America
(>20 y)
Asia (continental 20 y)
Asia (continental >20 y)
Asia (insular 20 y)
Asia (insular >20 y)
Africa (20 y)
Africa (>20 y)
North and South America
(20 y)
North and South America
(>20 y)
Asia (continental 20 y)
Asia (continental >20 y)
Asia (insular 20 y)
Asia (insular >20 y)
Africa (20 y)
Africa (>20 y)
North and South America
(20 y)
North and South America
(>20 y)
Asia (continental 20 y)
Asia (continental >20 y)
Asia (insular 20 y)
Asia (insular >20 y)
Africa (20 y)
Africa (>20 y)
North and South America
(20 y)
North and South America
(>20 y)
Asia (continental 20 y)
Asia (continental >20 y)
Asia (insular 20 y)
Asia (insular >20 y)
North and South America
(20 y)
North and South America
(>20 y)
Asia (continental 20 y)
Asia (continental >20 y)
Asia (insular 20 y)
Asia (insular >20 y)
Africa (20 y)
Africa (>20 y)
North and South America
(20 y)
North and South America
(>20 y)
Asia (continental 20 y)

11
3.1 (1.5-5.5)
7.0 (3.0-11.0)
2.2 (1.3-3.0)
13
3.4
5
1.3
7.0

Reference
IPCC 2003
IPCC 2003
Clark et al. 2003,
Hughes et al. 1999
Feldpausch et al. 2004
Malhi et al. 2004
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
Harmand et al. 2004
IPCC 2003
IPCC 2003

2.0

IPCC 2003

9.0
2.0
11
3.0
2.4 (2.3-2.5)
1.8 (0.6-3.0)

IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003

4.0

IPCC 2003

1.0
6.0
1.5
7.0
2.0
0.2-0.7
0.9 (0.2-1.6)
4.0

IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
Nygrd et al. 2004
IPCC 2003
IPCC 2003

1.0

IPCC 2003

5.0
1.3 (1.0-2.2)
2.0
1.0
2.0-5.0
1.0-1.5

IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003

1.8-5.0

IPCC 2003

0.4-1.4

IPCC 2003

1.0-5.0
0.5-1.0
3.0-12
1.0-3.0

IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003

7.0

IPCC 2003

2.0

IPCC 2003

9.0
2.0
11
3.0
2.4 (2.3-2.5)
1.8 (0.6-3.0)

IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003

4.0

IPCC 2003

Draft 2006 IPCC Guidelines for National Greenhouse Gas Inventories

1.0

IPCC 2003

6.0

IPCC 2003

4.55

Volume 4. Agriculture, Forestry and Other Land Use

DO NOT CITE OR QUOTE

Government Consideration

Domain

TABLE 4.9
ABOVE-GROUND NET BIOMASS GROWTH IN NATURAL FORESTS
(TONNES DRY MATTER HA-1 Y-1)
Aboveground
Ecological Zone
Continent
Biomass
Growth

Subtropical steppe

Subtropical mountain systems

Temperate oceanic forest

Temperate
Temperate continental forest
Temperate mountain systems
Boreal coniferous forest
Boreal tundra woodland
Boreal
Boreal mountain systems

Asia (continental >20 y)


Asia (insular 20 y)
Asia (insular >20 y)
Africa (20 y)
Africa (>20 y)
North and South America
(20 y)
North and South America
(>20 y)
Asia (continental 20 y)
Asia (continental >20 y)
Asia (insular 20 y)
Asia (insular >20 y)
Africa (20 y)
Africa (>20 y)
North and South America
(20 y)
North and South America
(>20 y)
Asia (continental 20 y)
Asia (continental >20 y)
Asia (insular 20 y)
Asia (insular >20 y)
Europe
North America
New Zealand
South America
Asia, Europe, North
America (20 y)
Asia, Europe, North
America (>20 y)
Asia, Europe, North
America
Asia, Europe, North
America
Asia, Europe, North
America
Asia, Europe, North
America (20 y)
Asia, Europe, North
America (>20 y)

Reference

1.5
7.0
2.0
1.2 (0.8-1.5)
0.9 (0.2-1.6)

IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003

4.0

IPCC 2003

1.0

IPCC 2003

5.0
1.3 (1.0-2.2)
2.0
1.0
2.0-5.0
1.0-1.5

IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003

1.8-5.0

IPCC 2003

0.4-1.4

IPCC 2003

1.0-5.0
0.5-1.0
3.0-12
1.0-3.0
2.3
15 (1.2-105)
3.5 (3.2-3.8)
2.4-8.9

IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
Hessl et al. 2004
Coomes et al. 2002
Echevarria and Lara 2004

4.0 (0.5-8.0)

IPCC 2003

4.0 (0.5-7.5)

IPCC 2003

3.0 (0.5-6.0)

IPCC 2003

0.1-2.1

Gower et al. 2001

0.4 (0.2-0.5)

IPCC 2003

1.0-1.1

IPCC 2003

1.1-1.5

IPCC 2003

1
2

4.56

Draft 2006 IPCC Guidelines for National Greenhouse Gas Inventories

Chapter 4: Forest land

DO NOT CITE OR QUOTE


Government Consideration

1
TABLE 4.10
ABOVE-GROUND NET BIOMASS GROWTH IN TROPICAL AND SUB-TROPICAL FOREST PLANTATIONS
(TONNES DRY MATTER HA-1 Y-1)
Aboveground
Domain
Ecological Zone
Continent
References
Biomass
Growth

Tropical rain forest

Tropical moist deciduous forest

Tropical
Tropical dry forest

Tropical shrubland

Tropical mountain systems

Subtropical
Subtropical humid forest

Subtropical dry forest

Subtropical steppe

Africa Pinus sp. 20 y


Africa other 20 y
Americas Eucalyptus sp.
Americas Pinus sp.
Americas Tectona grandis
Americas other broadleaf
Asia Eucalyptus sp.
Asia other
Africa Eucalyptus sp. >20 y
Africa Eucalyptus sp. 20 y
Africa Pinus sp. > 20 y
Africa Pinus sp. 20 y
Africa other 20 y
Americas Eucalyptus sp.
Americas Pinus sp.
Americas Tectona grandis
Americas other broadleaf
Asia
Africa Eucalyptus sp. 20 y
Africa Pinus sp. > 20 y
Africa Pinus sp. 20 y
Africa other 20 y
Americas Eucalyptus sp.
Americas Pinus sp.
Americas Tectona grandis
Americas other broadleaf
Asia Eucalyptus sp.
Asia other
Africa Eucalyptus sp. >20 y
Africa Eucalyptus sp. 20 y
Africa Pinus sp. > 20 y
Africa Pinus sp. 20 y
Africa other > 20 y
Africa other 20 y
Americas Eucalyptus sp.
Americas Pinus sp.
Asia
Africa
Americas Eucalyptus sp.
Americas Pinus sp.
Americas Tectona grandis
Americas other broadleaf
Asia Eucalyptus sp.
Asia other
Americas Eucalyptus sp.
Americas Pinus sp.
Americas Tectona grandis
Americas other broadleaf
Asia
Africa Eucalyptus sp. 20 y
Africa Pinus sp. > 20 y
Africa Pinus sp. 20 y
Africa other 20 y
Americas Eucalyptus sp.
Americas Pinus sp.
Americas Tectona grandis
Americas other broadleaf
Asia Eucalyptus sp.
Asia other
Africa Eucalyptus sp. >20 y
Africa Eucalyptus sp. 20 y
Africa Pinus sp. > 20 y
Africa Pinus sp. 20 y
Africa other > 20 y

Draft 2006 IPCC Guidelines for National Greenhouse Gas Inventories

20
6 (5-8)
20 (6-40)
20
15
20 (5-35)
5 (4-8)
5 (2-8)
25
20
15
10
9 (3-15)
16
7 (4-10)
8 (4-12)
6-20
8
13
10
8
10 (4-20)
20 (6-30)
7 (4-10)
8 (4-12)
10 (3-12)
15 (5-25)
7 (2-13)
8 (5-14)
5 (3-7)
2.5
3 (0.5-6)
10
15
20
5
6 (1-12)
10
10 (8-18)
10
2
4
3
5 (1-10)
20 (6-32)
7 (4-10)
8 (4-12)
10 (3-12)
8
13
10
8
10 (4-20)
20 (6-30)
7 (4-10)
8 (4-12)
10 (3-12)
15 (5-25)
7 (2-13)
8 (5-14)
5 (3-7)
2.5
3 (0.5-6)
10

IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
Stape et al. 2004
IPCC 2003
IPCC 2003
Lugo et al. 1990
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003

4.57

Volume 4. Agriculture, Forestry and Other Land Use

DO NOT CITE OR QUOTE

Government Consideration
TABLE 4.10
ABOVE-GROUND NET BIOMASS GROWTH IN TROPICAL AND SUB-TROPICAL FOREST PLANTATIONS
(TONNES DRY MATTER HA-1 Y-1)
Aboveground
Domain
Ecological Zone
Continent
References
Biomass
Growth

Subtropical mountain systems

Africa other 20 y
Americas Eucalyptus sp.
Americas Pinus sp.
Asia
Africa
Americas Eucalyptus sp.
Americas Pinus sp.
Americas Tectona grandis
Americas other broadleaf
Asia Eucalyptus sp.
Asia other

15
20
5
6 (1-12)
10
10 (8-18)
10
2
4
3
5 (1-10)

IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003
IPCC 2003

1
2
TABLE 4.11A
ABOVE-GROUND NET VOLUME GROWTH OF SELECTED
FOREST PLANTATION SPECIES
(M3 HA-1 Y-1)

(UGALDE AND PEREZ 2001)


Acacia auriculiformis
Acacia mearnsii
Araucaria angustifolia
Araucaria cunninghamii
Casuarina equisetifolia
Casuarina junghuhniana
Cordia alliadora
Cupressus lusitanica
Dalbergia sissoo
Eucalyptus camaldulensis
Eucalyptus deglupta
Eucalyptus globulus
Eucalyptus grandis
Eucalyptus robusta
Eucalyptus saligna
Eucalyptus urophylla
Gmelina arborea
Leucaena leucocephala
Pinus caribaea v. caribaea
Pinus caribaea v. hondurensis
Pinus oocarpa
Pinus patula
Pinus radiata
Swietenia macrophylla
Tectona grandis
Terminalia ivorensis
Terminalia superba

6-20
14-25
8-24
10-18
6-20
7-11
10-20
8-40
5-8
15-30
14-50
10-40
15-50
10-40
10-55
20-60
12-50
30-55
10-28
20-50
10-40
8-40
10-50
7-30
6-18
8-17
10-14

4.58

Draft 2006 IPCC Guidelines for National Greenhouse Gas Inventories

Chapter 4: Forest land

DO NOT CITE OR QUOTE


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1
TABLE 4.11B
MEAN ANNUAL INCREMENT (GROWTH OF MERCHANTABLE VOLUME)
Planted Forest
Type/Region

Tree species

FOR SOME FOREST PLANTATION SPECIES

Mean annual increment (MAI) over rotation in


(m3 ha-1 yr-1)
MAI min

MAI max

2.2
15
1.4
2
6.6
5
15
12
8.5
2.5
21

4
20
2.6
6
9.4
7.5
24
14
12
3.5
43

4
7.3
3
15
15
20
10
10
25
10
15

15
17.3
8.8
30
30
70
20
25
40
30
35

4
1.9
12.5
1.1
1.8
1.2
1.5
1.2
1.5
0.9

6.1
3.5
20
2.4
3.2
3.7
2.4
1.5
1.7
1

2
13
1.4
1.9
6
4
14
10
7
5

6
21
2.8
4.3
12
8
20
14
16
8

Productive Plantations
Africa

Asia

Acacia mellifera
Acacia nilotica
Acacia senegal
Acacia seyal
Ailanthus excelsa
Bamboo Bamboo
Cupressus spp.
Eucalyptus spp.
Khaya spp.
Tectona grandis
Eucalyptus camaldulensis

Pinus spp.
Tectona grandis
South America
Xylia xylocapa
Acacia spp.
Araucaria angustifolia
Eucalyptus spp.
Hevea brasiliensis
Mimosa scabrella
Pinus spp.
Populus spp.
Tectona grandis
Productive, semi-natural forests
Acacia albida
Africa
Acacia mellifera
Acacia nilotica
Acacia senegal
Acacia seyal
Acacia tortilis
Acacia tortilis var siprocarpa
Balanites aegyptiaca
Sclerocarya birrea
Ziziphus mauritiana
Protective Plantations
Acacia mellifera
Africa
Acacia nilotica
Acacia senegal
Acacia seyal
Ailanthus spp.
Bamboo Bamboo
Cupressus spp.
Eucalyptus spp.
Khaya spp.
Tectona grandis

Draft 2006 IPCC Guidelines for National Greenhouse Gas Inventories

4.59

Volume 4. Agriculture, Forestry and Other Land Use

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Government Consideration
1
TABLE 4.11B (CONTINUED)
MEAN ANNUAL INCREMENT (GROWTH OF MERCHANTABLE VOLUME)
Planted Forest
Type/Region

Tree species

FOR SOME FOREST PLANTATION SPECIES

Mean annual increment (MAI) over rotation in


cubic meters / yr
MAI min

MAI max

4
1.7
12
1.1
1.8
1.3
1.6
1.2
1.5
0.9

6.2
3.2
15
2.4
3.3
3.5
2.4
1.5
1.7
1

Protective Semi-natural plantations


Acacia albida
Africa
Acacia mellifera
Acacia nilotica
Acacia senegal
Acacia seyal
Acacia tortilis
Acacia tortilis var siprocarpa
Balanites aegyptiaca
Sclerocarya birrea
Ziziphus mauritiana
Source: FAO at http://www.fao.org/forestry/foris/webview/forestry2

2
3
4
TABLE 4.12
TIER 1 ESTIMATED BIOMASS VALUES FROM TABLES 4.74.11 (EXCEPT TABLE 4.11B)
(VALUES ARE APPROXIMATE. USE ONLY FOR TIER 1)

Climate
Domain

Tropical

Sub
tropical

Temperate

Boreal

Ecological Zone

Tropical rain forest


Tropical moist deciduous forest
Tropical dry forest
Tropical shrubland
Tropical mountain systems
Subtropical humid forest
Subtropical dry forest
Subtropical steppe
Subtropical mountain systems
Temperate oceanic forest
Temperate continental forest
Temperate mountain systems
Boreal coniferous forest
Boreal tundra woodland
Boreal mountain systems

Aboveground
biomass in
natural
forests
(tonnes dry
matter ha-1)

Aboveground
biomass in
forest
plantations
(tonnes dry
matter ha-1)

Aboveground
net biomass
growth in
natural
forests
(tonnes dry
matter ha-1 y1
)

Aboveground
net biomass
growth in
forest
plantations
(tonnes dry
matter ha-1 y1
)

300
180
130
70
140
220
130
70
140
180
120
100
50
15
30

150
120
60
30
90
140
60
30
90
160
100
100
40
15
30

7
5
2.4
1
1
5
2.4
1
1
4.4
4
3
1
0.4
1

15
10
8
5
5
10
8
5
5
4.4
4
3
1
0.4
1

5
6

4.60

Draft 2006 IPCC Guidelines for National Greenhouse Gas Inventories

Chapter 4: Forest land

DO NOT CITE OR QUOTE


Government Consideration

TABLE 4.13 BASIC WOOD DENSITY (D) OF TROPICAL TREE


-3
SPECIES (OVEN-DRY TONNES (MOIST M ))

TABLE 4.13 BASIC WOOD DENSITY (D) OF TROPICAL TREE


-3
SPECIES (OVEN-DRY TONNES (MOIST M ))

1 = Baker et al. 2004b, 2 = Barbosa and Fearnside 2004,


3 = CTFT 1989, 4 = Fearnside 1997, 5 = Reyes et al. 1992
species
density continent reference
Adina cordifolia
0.58-0.59
Asia
5
Aegle marmelo
0.75
Asia
5
Afzelia bipidensis
0.67-0.79
Africa
3
Agathis sp.
0.44
Asia
5
Aglaia llanosiana
0.89
Asia
5
Agonandra brasiliensis
0.74
Americas
4
Aidia ochroleuca
0.78
Africa
5
Alangium longiflorum
0.65
Asia
5
Albizia sp.
0.52
Americas
5
Albizzia amara
0.70
Asia
5
Albizzia falcataria
0.25
Asia
5
Alcornea sp.
0.34
Americas
5
Aldina heterophylla
0.73
Americas
4
Aleurites trisperma
0.43
Asia
5
Alexa grandiflora
0.59
Americas
4
Alexa imperatricis
0.52
Americas
4
Allophyllus africanus
0.45
Africa
5
Alnus ferruginea
0.38
Americas
5
Alnus japonica
0.43
Asia
5
Alphitonia zizyphoides
0.50
Asia
5
Alphonsea arborea
0.69
Asia
5
Alseodaphne longipes
0.49
Asia
5
Alstonia congensis
0.33
Africa
5
Amburana cearensis
0.43
Americas
1
Amoora sp.
0.60
Asia
5
Amphimas
0.63
Africa
5
pterocarpoides
Anacardium excelsum
0.41
Americas
4
Anacardium giganteum
0.44
Americas
4
Anadenanthera
0.86
Americas
4
macrocarpa
Andira inermis
0.64
Americas
4
Andira parviflora
0.69
Americas
4
Andira retusa
0.67
Americas
5
Aniba amazonica
0.52-0.56
Americas
1
Aniba canelilla
0.92
Americas
4
Aningeria robusta
0.44-0.53
Africa
3
Anisophyllea
0.63
Africa
5
obtusifolia
Anisophyllea zeylanica
0.46
Asia
5
Anisoptera sp.
0.54
Asia
5
Annonidium mannii
0.29
Africa
5
Anogeissus latifolia
0.78-0.79
Asia
5
Anopyxis klaineana
0.74
Africa
5
Anthocephalus
0.33-0.36
Asia
5
chinensis
Anthocleista keniensis
0.50
Africa
5
Anthonotha
0.78
Africa
5
macrophylla
Anthostemma
0.32
Africa
5
aubryanum
Antiaris africana
0.38
Americas
5
Antiaris sp.
0.38
Africa
5
Antidesma pleuricum
0.59
Asia
5
Antrocaryon
0.50
Africa
5
klaineanum
Apeiba aspera
0.28
Americas
1
Apeiba echinata
0.36
Americas
5
Apeiba peiouma
0.20
Americas
4
Aphanamiris
0.52
Asia
5
perrottetiana
Apuleia leiocarpa
0.7
Americas
1
Apuleia molaris
0.76
Americas
4
Araucaria bidwillii
0.43
Asia
5
Ardisia cubana
0.62
Americas
1
Artocarpus comunis
0.70
Americas
5
Artocarpus sp.
0.58
Asia
5
Aspidosperma album
0.76
Americas
4

1 = Baker et al. 2004b, 2 = Barbosa and Fearnside 2004,


3 = CTFT 1989, 4 = Fearnside 1997, 5 = Reyes et al. 1992
species
density continent reference
Aspidosperma
0.67
Americas
1
macrocarpon
Aspidosperma
0.86
Americas
4
obscurinervium
Astronium gracile
0.73
Americas
4
Astronium graveolens
0.75
Americas
4
Astronium lecointei
0.73
Americas
5
Astronium ulei
0.71
Americas
4
Astronium urundeuva
1.21
Americas
4
Aucoumea klaineana
0.31-0.48
Africa
3
Autranella congolensis
0.78
Africa
5
Azadirachta sp.
0.52
Asia
5
Bagassa guianensis
0.69
Americas
4
Baillonella toxisperma
0.70
Africa
3
Balanites aegyptiaca
0.63
Africa
5
Balanocarpus sp.
0.76
Asia
5
Banara guianensis
0.61
Americas
5
Baphia kirkii
0.93
Africa
5
Barringtonia edulis
0.48
Asia
5
Basiloxylon exelsum
0.58
Americas
5
Bauhinia sp.
0.67
Asia
5
Beilschmiedia louisii
0.70
Africa
5
Beilschmiedia nitida
0.50
Africa
5
Beilschmiedia sp.
0.61
Americas
5
Beilschmiedia tawa
0.58
Asia
5
Berlinia sp.
0.58
Africa
5
Berrya cordifolia
0.78
Asia
5
Bertholletia excelsa
0.62
Americas
4
Bischofia javanica
0.54-0.62
Asia
5
Bixa arborea
0.32
Americas
4
Bleasdalea vitiensis
0.43
Asia
5
Blighia welwitschii
0.74
Africa
5
Bocoa sp.
0.42
Americas
1
Bombacopsis quinata
0.39
Americas
1
Bombacopsis sepium
0.39
Americas
5
Bombax costatum
0.35
Africa
3
Bombax paraense
0.39
Americas
1
Borojoa patinoi
0.52
Americas
5
Boswellia serrata
0.50
Asia
5
Bowdichia
0.39
Americas
2
coccolobifolia
Bowdichia crassifolia
0.39
Americas
2
Bowdichia nitida
0.79
Americas
4
Bowdichia virgilioides
0.52
Americas
2
Brachystegia sp.
0.52
Africa
5
Bridelia micrantha
0.47
Africa
5
Bridelia squamosa
0.5
Asia
5
Brosimum acutifolium
0.55
Americas
4
Brosimum alicastrum
0.69
Americas
4
Brosimum guianense
0.96
Americas
4
Brosimum lactescens
0.70
Americas
1
Brosimum
0.58
Americas
4
parinarioides
Brosimum potabile
0.53
Americas
4
Brosimum rubescens
0.87
Americas
4
Brosimum utile
0.40-0.49
Americas
1
Brysenia adenophylla
0.54
Americas
5
Buchenavia capitata
0.63
Americas
4
Buchenavia huberi
0.79
Americas
4
Buchenavia latifolia
0.45
Asia
5
Buchenavia oxycarpa
0.72
Americas
4
Buchenavia viridiflora
0.88
Americas
1
Bucida buceras
0.93
Americas
5
Bursera serrata
0.59
Asia
5
Bursera simaruba
0.29-0.34
Americas
5
Butea monosperma
0.48
Asia
5
Byrsonima coriacea
0.64
Americas
5
Byrsonima spicata
0.61
Americas
4

Draft 2006 IPCC Guidelines for National Greenhouse Gas Inventories

4.61

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TABLE 4.13 BASIC WOOD DENSITY (D) OF TROPICAL TREE
-3
SPECIES (OVEN-DRY TONNES (MOIST M ))

TABLE 4.13 BASIC WOOD DENSITY (D) OF TROPICAL TREE


-3
SPECIES (OVEN-DRY TONNES (MOIST M ))

1 = Baker et al. 2004b, 2 = Barbosa and Fearnside 2004,


3 = CTFT 1989, 4 = Fearnside 1997, 5 = Reyes et al. 1992
species
density continent reference
Byrsonima
0.33
Americas
2
verbascifolia
Cabralea canjerana
0.55
Americas
4
Caesalpinia sp.
1.05
Americas
5
Calophyllum
0.53
Americas
4
brasiliense
Calophyllum sp.
0.46
Americas
1
Calophyllum sp.
0.53
Asia
5
Calpocalyx klainei
0.63
Africa
5
Calycarpa arborea
0.53
Asia
5
Calycophyllum
0.74
Americas
1
spruceanum
Campnosperma
0.37
Americas
1
panamensis
Cananga odorata
0.29
Asia
5
Canarium sp.
0.44
Asia
5
Canthium monstrosum
0.42
Asia
5
Canthium
0.63
Africa
5
rubrocostratum
Carallia calycina
0.66
Asia
5
Carapa guianensis
0.55
Americas
4
Carapa procera
0.59
Africa
5
Cariniana integrifolia
0.49
Americas
4
Cariniana micrantha
0.64
Americas
4
Caryocar glabrum
0.65
Americas
1
Caryocar villosum
0.72
Americas
4
Casearia battiscombei
0.5
Africa
5
Casearia sp.
0.62
Americas
5
Cassia javanica
0.69
Asia
5
Cassia moschata
0.71
Americas
5
Cassia scleroxylon
1.01
Americas
4
Cassipourea euryoides
0.70
Africa
5
Cassipourea malosana
0.59
Africa
5
Castanopsis
0.51
Asia
5
philippensis
Casuarina equisetifolia
0.81
Americas
5
Casuarina equisetifolia
0.83
Asia
5
Casuarina nodiflora
0.85
Asia
5
Catostemma commune
0.5
Americas
1
Cecropia sp.
0.36
Americas
5
Cedrela odorata
0.42
Americas
1
Cedrela odorata
0.38
Asia
5
Cedrela sp.
0.40-0.46
Americas
5
Cedrela toona
0.43
Asia
5
Cedrelinga
0.45
Americas
1
catenaeformis
Ceiba pentandra
0.18-0.39
Africa
3
Ceiba pentandra
0.28
Americas
4
Ceiba pentandra
0.23
Asia
5
Ceiba samauma
0.57
Americas
1
Celtis luzonica
0.49
Asia
5
Celtis schippii
0.59
Americas
1
Celtis sp.
0.59
Africa
5
Centrolobium sp.
0.65
Americas
5
Cespedesia
0.63
Americas
5
macrophylla
Cespedesia spathulata
0.54
Americas
1
Chaetocarpus
0.80
Americas
5
schomburgkianus
Chisocheton pentandrus
0.52
Asia
5
Chlorophora excelsa
0.48-0.66
Africa
3
Chlorophora tinctoria
0.73
Americas
4
Chloroxylon swietenia
0.76-0.80
Asia
5
Chorisia integrifolia
0.28
Americas
1
Chrysophyllum
0.56
Africa
5
albidum
Chukrassia tabularis
0.57
Asia
5
Citrus grandis
0.59
Asia
5
Clarisia racemosa
0.59
Americas
4

1 = Baker et al. 2004b, 2 = Barbosa and Fearnside 2004,


3 = CTFT 1989, 4 = Fearnside 1997, 5 = Reyes et al. 1992
species
density continent reference
Cleidion speciflorum
0.50
Asia
5
Cleistanthus eollinus
0.88
Asia
5
Cleistanthus
0.87
Africa
5
mildbraedii
Cleistocalyx sp.
0.76
Asia
5
Cleistopholis patens
0.36
Africa
5
Clusia rosea
0.67
Americas
5
Cochlospermum
0.27
Asia
5
gossypium
Cochlospermum
0.26
Americas
5
orinocensis
Cocos nucifera
0.50
Asia
5
Coda edulis
0.78
Africa
5
Coelocaryon preussii
0.56
Africa
5
Cola sp.
0.70
Africa
5
Colona serratifolia
0.33
Asia
5
Combretodendron
0.57
Asia
5
quadrialatum
Conopharyngia holstii
0.50
Africa
5
Copaifera officinalis
0.61
Americas
1
Copaifera pubifora
0.56
Americas
1
Copaifera religiosa
0.50
Africa
5
Copaifera reticulata
0.63
Americas
4
Cordia alliodora
0.48
Americas
5
Cordia bicolor
0.49
Americas
4
Cordia gerascanthus
0.74
Americas
5
Cordia goeldiana
0.48
Americas
4
Cordia millenii
0.34
Africa
5
Cordia platythyrsa
0.36
Africa
5
Cordia sagotii
0.50
Americas
4
Cordia sp.
0.53
Asia
5
Corynanthe pachyceras
0.63
Africa
5
Corythophora rimosa
0.84
Americas
4
Cotylelobium sp.
0.69
Asia
5
Couepia sp.
0.70
Americas
5
Couma macrocarpa
0.50
Americas
4
Couratari guianensis
0.54
Americas
4
Couratari multiflora
0.47
Americas
4
Couratari oblongifolia
0.49
Americas
4
Couratari stellata
0.63
Americas
4
Crataeva religiosa
0.53
Asia
5
Cratoxylon arborescens
0.40
Asia
5
Croton megalocarpus
0.57
Africa
5
Croton xanthochloros
0.48
Americas
5
Cryptocarya sp.
0.59
Asia
5
Cryptosepalum staudtii
0.70
Africa
5
Ctenolophon
0.78
Africa
5
englerianus
Cubilia cubili
0.49
Asia
5
Cullenia excelsa
0.53
Asia
5
Cupressus lusitanica
0.43-0.44
Americas
5
Curatella americana
0.41
Americas
2
Cylicodiscus
0.80
Africa
5
gabonensis
Cynometra alexandri
0.74
Africa
5
Cynometra sp.
0.80
Asia
5
Cyrilla racemiflora
0.53
Americas
5
Dacrycarpus imbricatus
0.45-0.47
Asia
5
Dacrydium sp.
0.46
Asia
5
Dacryodes buttneri
0.44-0.57
Africa
3
Dacryodes excelsa
0.52-0.53
Americas
5
Dacryodes sp.
0.61
Asia
5
Dactyodes colombiana
0.51
Americas
5
Dalbergia paniculata
0.64
Asia
5
Dalbergia retusa.
0.89
Americas
5
Dalbergia stevensonii
0.82
Americas
5
Daniellia oliveri
0.53
Africa
3
Declinanona calycina
0.47
Americas
5
Decussocarpus vitiensis
0.37
Asia
5

4.62

Draft 2006 IPCC Guidelines for National Greenhouse Gas Inventories

Chapter 4: Forest land

DO NOT CITE OR QUOTE


Government Consideration

TABLE 4.13 BASIC WOOD DENSITY (D) OF TROPICAL TREE


-3
SPECIES (OVEN-DRY TONNES (MOIST M ))

TABLE 4.13 BASIC WOOD DENSITY (D) OF TROPICAL TREE


-3
SPECIES (OVEN-DRY TONNES (MOIST M ))

1 = Baker et al. 2004b, 2 = Barbosa and Fearnside 2004,


3 = CTFT 1989, 4 = Fearnside 1997, 5 = Reyes et al. 1992
species
density continent reference
Degeneria vitiensis
0.35
Asia
5
Dehaasia triandra
0.64
Asia
5
Dendropanax arboreum
0.40
Americas
4
Desbordesia pierreana
0.87
Africa
5
Detarium senegalensis
0.63
Africa
5
Dialium excelsum
0.78
Africa
5
Dialium guianense
0.88
Americas
4
Dialium sp.
0.80
Asia
5
Dialyanthera sp.
0.36-0.48
Americas
5
Diclinanona calycina
0.47
Americas
4
Dicorynia ghuianensis
0.65
Americas
4
Dicorynia paraensis
0.60
Americas
5
Didelotia africana
0.78
Africa
5
Didelotia letouzeyi
0.50
Africa
5
Didymopanax sp.
0.74
Americas
5
Dillenia sp.
0.59
Asia
5
Dimorphandra mora
0.99
Americas
5
Dinizia excelsa
0.86
Americas
4
Diospyros sp.
0.82
Africa
5
Diospyros sp.
0.47
Americas
1
Diospyros sp.
0.70
Asia
5
Diplodiscus paniculatus
0.63
Asia
5
Diploon cuspidatum
0.85
Americas
4
Diplotropis martiusii
0.74
Americas
1
Diplotropis purpurea
0.78
Americas
4
Dipterocarpus caudatus
0.61
Asia
5
Dipterocarpus
0.56
Asia
5
eurynchus
Dipterocarpus gracilis
0.61
Asia
5
Dipterocarpus
0.62
Asia
5
grandiflorus
Dipterocarpus kerrii
0.56
Asia
5
Dipterocarpus
0.57
Asia
5
kunstlerii
Dipterocarpus sp.
0.61
Asia
5
Dipterocarpus
0.52
Asia
5
warburgii
Dipteryx odorata
0.93
Americas
4
Dipteryx polyphylla
0.87
Americas
4
Discoglypremna
0.32
Africa
5
caloneura
Distemonanthus
0.58
Africa
5
benthamianus
Dracontomelon sp.
0.50
Asia
5
Dryobalanops sp.
0.61
Asia
5
Drypetes sp.
0.63
Africa
5
Drypetes variabilis
0.71
Americas
4
Dtypetes bordenii
0.75
Asia
5
Durio sp.
0.53
Asia
5
Dussia lehmannii
0.59
Americas
5
Dyera costulata
0.36
Asia
5
Dysoxylum
0.49
Asia
5
quercifolium
Ecclinusa bacuri
0.59
Americas
4
Ecclinusa guianensis
0.63
Americas
5
Ehretia acuminata
0.51
Africa
5
Elaeocarpus serratus
0.40
Asia
5
Emblica officinalis
0.80
Asia
5
Enantia chlorantha
0.42
Africa
5
Endiandra laxiflora
0.54
Asia
5
Endlicheria sp.
0.50
Americas
1
Endodesmia
0.66
Africa
5
calophylloides
Endopleura uchi
0.78
Americas
4
Endospermum sp.
0.38
Asia
5
Entandrophragma utile
0.53-0.62
Africa
3
Enterolobium
0.34
Americas
4
cyclocarpum

1 = Baker et al. 2004b, 2 = Barbosa and Fearnside 2004,


3 = CTFT 1989, 4 = Fearnside 1997, 5 = Reyes et al. 1992
species
density continent reference
Enterolobium
0.35
Asia
5
cyclocarpum
Enterolobium
0.4
Americas
4
maximum
Enterolobium
0.78
Americas
4
schomburgkii
Eperua falcata
0.78
Americas
4
Epicharis cumingiana
0.73
Asia
5
Eribroma oblongum
0.6
Africa
5
Eriocoelum
0.5
Africa
5
microspermum
Eriotheca
0.45
Americas
4
longipedicellata
Erisma uncinatum
0.47
Americas
1
Erismadelphus ensul
0.56
Africa
5
Erythrina sp.
0.23
Americas
5
Erythrina subumbrans
0.24
Asia
5
Erythrina vogelii
0.25
Africa
5
Erythrophleum
0.70-0.88
Africa
3
ivorense
Erythrophloeum
0.65
Asia
5
densiflorum
Eschweilera amazonica
0.9
Americas
4
Eschweilera coriacea
0.78
Americas
4
Eschweilera ovata
0.81
Americas
4
Eschweilera sagotiana
0.79
Americas
4
Eucalyptus citriodora
0.64
Asia
5
Eucalyptus deglupta
0.34
Asia
5
Eucalyptus robusta
0.51
Americas
5
Eugenia sp.
0.65
Asia
5
Eugenia stahlii
0.73
Americas
5
Euxylophora paraensis
0.7
Americas
4
Fagara macrophylla
0.69
Africa
5
Fagara sp.
0.69
Americas
5
Fagraea sp.
0.73
Asia
5
Ficus benjamina
0.65
Asia
5
Ficus insipida
0.5
Americas
1
Ficus iteophylla
0.4
Africa
5
Fumtumia latifolia
0.45
Africa
5
Gallesia integrifolia
0.51
Americas
1
Gambeya sp.
0.56
Africa
5
Ganua obovatifolia
0.59
Asia
5
Garcinia myrtifolia
0.65
Asia
5
Garcinia punctata
0.78
Africa
5
Garcinia sp.
0.75
Asia
5
Gardenia turgida
0.64
Asia
5
Garuga pinnata
0.51
Asia
5
Genipa americana
0.51
Americas
4
Gilletiodendron
0.87
Africa
5
mildbraedii
Gluta sp.
0.63
Asia
5
Glycydendron
0.66
Americas
4
amazonicum
Gmelina arborea
0.41-0.45
Asia
5
Gmelina vitiensis
0.54
Asia
5
Gonocaryum
0.64
Asia
5
calleryanum
Gonystylus punctatus
0.57
Asia
5
Gossweilerodendron
0.4
Africa
5
balsamiferum
Goupia glabra
0.68
Americas
1
Grewia tiliaefolia
0.68
Asia
5
Guarea cedrata
0.48-0.57
Africa
3
Guarea chalde
0.52
Americas
5
Guarea guidonia
0.68
Americas
4
Guarea kunthiana
0.60
Americas
1
Guatteria decurrens
0.52
Americas
1
Guatteria olivacea
0.51
Americas
4
Guatteria procera
0.65
Americas
4

Draft 2006 IPCC Guidelines for National Greenhouse Gas Inventories

4.63

Volume 4. Agriculture, Forestry and Other Land Use

DO NOT CITE OR QUOTE

Government Consideration
TABLE 4.13 BASIC WOOD DENSITY (D) OF TROPICAL TREE
-3
SPECIES (OVEN-DRY TONNES (MOIST M ))

TABLE 4.13 BASIC WOOD DENSITY (D) OF TROPICAL TREE


-3
SPECIES (OVEN-DRY TONNES (MOIST M ))

1 = Baker et al. 2004b, 2 = Barbosa and Fearnside 2004,


3 = CTFT 1989, 4 = Fearnside 1997, 5 = Reyes et al. 1992
species
density continent reference
Guazuma ulmifolia
0.50-0.52
Americas
5
Guibourtia demeusii
0.70-0.84
Africa
3
Guillielma gasipae
0.95-1.25
Americas
5
Gustavia speciosa
0.34
Americas
1
Hannoa klaineana
0.28
Africa
5
Hardwickia binata
0.73
Asia
5
Harpullia arborea
0.62
Asia
5
Harungana
0.45
Africa
5
madagascariensis
Helicostylis tomentosa
0.72
Americas
4
Heritiera sp.
0.56
Asia
5
Hernandia Sonora
0.29
Americas
5
Hevea brasiliensis
0.49
Americas
4
Hevea brasiliensis
0.53
Asia
5
Hexalobus crispiflorus
0.48
Africa
5
Hibiscus tiliaceus
0.57
Asia
5
Hieronyma chocoensis
0.59-0.62
Americas
1
Hieronyma laxiflora
0.55
Americas
1
Himatanthus articulatus
0.38
Americas
2
Hirtella davisii
0.74
Americas
5
Holoptelea grandis
0.59
Africa
5
Homalanthus
0.38
Asia
5
populneus
Homalium sp.
0.7
Africa
5
Homalium sp.
0.76
Asia
5
Hopea acuminata
0.62
Asia
5
Hopea sp.
0.64
Asia
5
Huberodendron patinoi
0.5
Americas
1
Humiria balsamifera
0.66
Americas
4
Humiriastrum excelsum
0.75
Americas
4
Humiriastrum procera
0.7
Americas
5
Hura crepitans
0.36
Americas
4
Hyeronima
0.64
Americas
4
alchorneoides
Hyeronima laxiflora
0.59
Americas
5
Hylodendron
0.78
Africa
5
gabonense
Hymenaea courbaril
0.77
Americas
1
Hymenaea davisii
0.67
Americas
5
Hymenaea oblongifolia
0.62
Americas
1
Hymenaea parvifolia
0.95
Americas
4
Hymenolobium
0.64
Americas
4
excelsum
Hymenolobium
0.65
Americas
4
modestum
Hymenolobium
0.67
Americas
4
pulcherrimum
Hymenostegia
0.78
Africa
5
pellegrini
Inga alba
0.62
Americas
4
Inga edulis
0.51
Americas
1
Inga paraensis
0.82
Americas
4
Intsia palembanica
0.68
Asia
5
Irvingia grandifolia
0.78
Africa
5
Iryanthera grandis
0.55
Americas
4
Iryanthera sagotiana
0.57
Americas
4
Iryanthera trocornis
0.72
Americas
4
Jacaranda copaia
0.33
Americas
4
Joannesia heveoides
0.39
Americas
4
Julbernardia globiflora
0.78
Africa
5
Kayea garciae
0.53
Asia
5
Khaya ivorensis
0.40-0.48
Africa
3
Kingiodendron
0.48
Asia
5
alternifolium
Klainedoxa gabonensis
0.87
Africa
5
Kleinhovia hospita
0.36
Asia
5
Knema sp.
0.53
Asia
5
Koompassia excelsa
0.63
Asia
5

1 = Baker et al. 2004b, 2 = Barbosa and Fearnside 2004,


3 = CTFT 1989, 4 = Fearnside 1997, 5 = Reyes et al. 1992
species
density continent reference
Koordersiodendron
0.65-0.69
Asia
5
pinnatum
Kydia calycina
0.72
Asia
5
Lachmellea speciosa
0.73
Americas
5
Laetia procera
0.63
Americas
1
Lagerstroemia sp.
0.55
Asia
5
Lannea grandis
0.50
Asia
5
Lecomtedoxa klainenna
0.78
Africa
5
Lecythis idatimon
0.77
Americas
4
Lecythis lurida
0.83
Americas
4
Lecythis pisonis
0.84
Americas
4
Lecythis poltequi
0.81
Americas
4
Lecythis zabucaja
0.86
Americas
4
Letestua durissima
0.87
Africa
5
Leucaena leucocephala
0.64
Asia
5
Licania macrophylla
0.76
Americas
4
Licania oblongifolia
0.88
Americas
4
Licania octandra
0.77
Americas
4
Licania unguiculata
0.88
Americas
1
Licaria aritu
0.8
Americas
4
Licaria cannella
1.04
Americas
4
Licaria rigida
0.73
Americas
4
Lindackeria sp.
0.41
Americas
5
Linociera domingensis
0.81
Americas
5
Lithocarpus soleriana
0.63
Asia
5
Litsea sp.
0.40
Asia
5
Lonchocarpus sp.
0.69
Americas
5
Lophira alata
0.84-0.97
Africa
3
Lophopetalum sp.
0.46
Asia
5
Lovoa trichilioides
0.45
Africa
5
Loxopterygium sagotii
0.56
Americas
5
Lucuma sp.
0.79
Americas
5
Luehea sp.
0.50
Americas
5
Lueheopsis duckeana
0.62
Americas
4
Mabea piriri
0.59
Americas
5
Macaranga denticulata
0.53
Asia
5
Machaerium sp.
0.70
Americas
5
Maclura tinctoria
0.71
Americas
1
Macoubea guianensis
0.40
Americas
5
Madhuca oblongifolia
0.53
Asia
5
Maesopsis eminii
0.41
Africa
5
Magnolia sp.
0.52
Americas
5
Maguira sclerophylla
0.57
Americas
5
Malacantha sp.
0.45
Africa
5
Mallotus philippinensis
0.64
Asia
5
Malouetia duckei
0.57
Americas
4
Mammea africana
0.62
Africa
5
Mammea americana
0.62
Americas
5
Mangifera indica
0.55
Americas
5
Mangifera sp.
0.52
Asia
5
Manilkara amazonica
0.85
Americas
4
Manilkara bidentata
0.87
Americas
1
Manilkara huberi
0.93
Americas
4
Manilkara lacera
0.78
Africa
5
Maniltoa minor
0.76
Asia
5
Maquira sclerophylla
0.57
Americas
4
Marila sp.
0.63
Americas
5
Markhamia platycalyx
0.45
Africa
5
Marmaroxylon
0.81
Americas
4
racemosum
Mastixia philippinensis
0.47
Asia
5
Matayba domingensis
0.70
Americas
5
Matisia hirta
0.61
Americas
5
Mauria sp.
0.31
Americas
1
Maytenus sp.
0.71
Americas
5
Melanorrhea sp.
0.63
Asia
5
Melia dubia
0.4
Asia
5
Melicope triphylla
0.37
Asia
5
Meliosma macrophylla
0.27
Asia
5

4.64

Draft 2006 IPCC Guidelines for National Greenhouse Gas Inventories

Chapter 4: Forest land

DO NOT CITE OR QUOTE


Government Consideration

TABLE 4.13 BASIC WOOD DENSITY (D) OF TROPICAL TREE


-3
SPECIES (OVEN-DRY TONNES (MOIST M ))

TABLE 4.13 BASIC WOOD DENSITY (D) OF TROPICAL TREE


-3
SPECIES (OVEN-DRY TONNES (MOIST M ))

1 = Baker et al. 2004b, 2 = Barbosa and Fearnside 2004,


3 = CTFT 1989, 4 = Fearnside 1997, 5 = Reyes et al. 1992
species
density continent reference
Melochia umbellata
0.25
Asia
5
Memecylon
0.77
Africa
5
capitellatum
Metrosideros collina
0.70-0.76
Asia
5
Mezilaurus itauba
0.70
Americas
4
Mezilaurus lindaviana
0.68
Americas
4
Michelia sp.
0.43
Asia
5
Michropholis sp.
0.61
Americas
5
Microberlinia
0.70
Africa
5
brazzavillensis
Microcos coriaceus
0.42
Africa
5
Microcos stylocarpa
0.40
Asia
5
Micromelum
0.64
Asia
5
compressum
Micropholi guyanensis
0.65
Americas
4
Micropholi venulosa
0.67
Americas
4
Milletia sp.
0.72
Africa
5
Milliusa velutina
0.63
Asia
5
Mimusops elengi
0.72
Asia
5
Minquartia guianensis
0.76
Americas
1
Mitragyna parviflora
0.56
Asia
5
Mitragyna stipulosa
0.47
Africa
5
Monopetalanthus
0.44-0.53
Africa
3
heitzii
Mora excelsa
0.80
Americas
4
Mora gonggrijpii
0.78
Americas
1
Mora megistosperma
0.63
Americas
1
Mouriri barinensis
0.78
Americas
1
Mouriria sideroxylon
0.88
Americas
5
Musanga cecropioides
0.23
Africa
5
Myrciaria floribunda
0.73
Americas
5
Myristica platysperma
0.55
Americas
4
Myristica sp.
0.53
Asia
5
Myroxylon balsamum
0.78
Americas
1
Myroxylon peruiferum
0.78
Americas
1
Nauclea diderrichii
0.63
Africa
5
Nealchornea yapurensis
0.61
Americas
1
Nectandra rubra
0.57
Americas
5
Neesia sp.
0.53
Asia
5
Neonauclea bernardoi
0.62
Asia
5
Neopoutonia
0.32
Africa
5
macrocalyx
Neotrewia cumingii
0.55
Asia
5
Nesogordonia
0.65
Africa
5
papaverifera
Ochna foxworthyi
0.86
Asia
5
Ochroma pyramidale
0.30
Asia
5
Ochtocosmus africanus
0.78
Africa
5
Ocotea guianensis
0.63
Americas
4
Ocotea neesiana
0.63
Americas
4
Octomeles sumatrana
0.27-0.32
Asia
5
Odyendea sp.
0.32
Africa
5
Oldfieldia africana
0.78
Africa
5
Ongokea gore
0.72
Africa
5
Onychopetalum
0.61
Americas
4
amazonicum
Ormosia coccinea
0.61
Americas
1
Ormosia paraensis
0.67
Americas
4
Ormosia schunkei
0.57
Americas
1
Oroxylon indicum
0.32
Asia
5
Otoba gracilipes
0.32
Americas
1
Ougenia dalbergiodes
0.70
Asia
5
Ouratea sp.
0.66
Americas
5
Oxystigma oxyphyllum
0.53
Africa
5
Pachira acuatica
0.43
Americas
5
Pachyelasma
0.70
Africa
5
tessmannii
Pachypodanthium
0.58
Africa
5
staudtii

1 = Baker et al. 2004b, 2 = Barbosa and Fearnside 2004,


3 = CTFT 1989, 4 = Fearnside 1997, 5 = Reyes et al. 1992
species
density continent reference
Palaquium sp.
0.55
Asia
5
Pangium edule
0.50
Asia
5
Paraberlinia bifoliolata
0.56
Africa
5
Parashorea stellata
0.59
Asia
5
Paratecoma peroba
0.60
Americas
5
Paratrophis glabra
0.77
Asia
5
Parinari excelsa
0.68
Americas
4
Parinari glabra
0.87
Africa
5
Parinari montana
0.71
Americas
4
Parinari rodolphii
0.71
Americas
4
Parinari sp.
0.68
Asia
5
Parkia multijuga
0.38
Americas
4
Parkia nitada
0.40
Americas
4
Parkia paraensis
0.44
Americas
4
Parkia pendula
0.55
Americas
4
Parkia roxburghii
0.34
Asia
5
Parkia ulei
0.40
Americas
4
Pausandra trianae
0.59
Americas
1
Pausinystalia
0.56
Africa
5
brachythyrsa
Pausinystalia sp.
0.56
Africa
5
Payena sp.
0.55
Asia
5
Peltogyne paniculata
0.89
Americas
4
Peltogyne paradoxa
0.91
Americas
4
Peltogyne
0.89
Americas
1
porphyrocardia
Peltophorum
0.62
Asia
5
pterocarpum
Pentace sp.
0.56
Asia
5
Pentaclethra macroloba
0.43
Americas
1
Pentaclethra
0.78
Africa
5
macrophylla
Pentadesma butyracea
0.78
Africa
5
Persea sp.
0.40-0.52
Americas
5
Peru glabrata
0.65
Americas
5
Peru schomburgkiana
0.59
Americas
5
Petitia domingensis
0.66
Americas
5
Phaeanthus
0.56
Asia
5
ebracteolatus
Phyllanthus discoideus
0.76
Africa
5
Phyllocladus
0.53
Asia
5
hypophyllus
Phyllostylon
0.77
Americas
4
brasiliensis
Pierreodendron
0.70
Africa
5
africanum
Pinus caribaea
0.51
Americas
5
Pinus caribaea
0.48
Asia
5
Pinus insularis
0.47-0.48
Asia
5
Pinus merkusii
0.54
Asia
5
Pinus oocarpa
0.55
Americas
5
Pinus patula
0.45
Americas
5
Piptadenia communis
0.68
Americas
4
Piptadenia grata
0.86
Americas
1
Piptadenia suaveolens
0.75
Americas
4
Piptadeniastrum
0.56
Africa
5
africanum
Piratinera guianensis
0.96
Americas
5
Pisonia umbellifera
0.21
Asia
5
Pithecellobium
0.56
Americas
5
guachapele
Pithecellobium
0.36
Americas
1
latifolium
Pithecellobium saman
0.49
Americas
1
Pittosporum
0.51
Asia
5
pentandrum
Plagiostyles africana
0.70
Africa
5
Planchonia sp.
0.59
Asia
5
Platonia insignis
0.70
Americas
5

Draft 2006 IPCC Guidelines for National Greenhouse Gas Inventories

4.65

Volume 4. Agriculture, Forestry and Other Land Use

DO NOT CITE OR QUOTE

Government Consideration
TABLE 4.13 BASIC WOOD DENSITY (D) OF TROPICAL TREE
-3
SPECIES (OVEN-DRY TONNES (MOIST M ))

TABLE 4.13 BASIC WOOD DENSITY (D) OF TROPICAL TREE


-3
SPECIES (OVEN-DRY TONNES (MOIST M ))

1 = Baker et al. 2004b, 2 = Barbosa and Fearnside 2004,


3 = CTFT 1989, 4 = Fearnside 1997, 5 = Reyes et al. 1992
species
density continent reference
Platymiscium sp.
0.71-0.84
Americas
5
Podocarpus oleifolius
0.44
Americas
1
Podocarpus rospigliosii
0.57
Americas
1
Podocarpus sp.
0.43
Asia
5
Poga oleosa
0.36
Africa
5
Polyalthia flava
0.51
Asia
5
Polyalthia suaveolens
0.66
Africa
5
Polyscias nodosa
0.38
Asia
5
Pometia sp.
0.54
Asia
5
Poulsenia armata
0.37-0.44
Americas
1
Pourouma sp.
0.32
Americas
5
Pouteria anibifolia
0.66
Americas
1
Pouteria anomala
0.81
Americas
4
Pouteria caimito
0.87
Americas
4
Pouteria guianensis
0.90
Americas
4
Pouteria manaosensis
0.64
Americas
4
Pouteria oppositifolia
0.65
Americas
4
Pouteria villamilii
0.47
Asia
5
Premna angolensis
0.63
Africa
5
Premna tomentosa
0.96
Asia
5
Prioria copaifera
0.40-0.41
Americas
5
Protium heptaphyllum
0.54
Americas
4
Protium tenuifolium
0.65
Americas
4
Pseudolmedia laevigata
0.62-0.63
Americas
1
Pseudolmedia laevis
0.71
Americas
1
Pteleopsis hylodendron
0.63
Africa
5
Pterocarpus marsupium
0.67
Asia
5
Pterocarpus soyauxii
0.62-0.79
Africa
3
Pterocarpus vernalis
0.57
Americas
1
Pterogyne nitens
0.66
Americas
4
Pterygota sp.
0.52
Africa
5
Pterygota sp.
0.62
Americas
1
Pycnanthus angolensis
0.40-0.53
Africa
3
Qualea albiflora
0.50
Americas
5
Qualea brevipedicellata
0.69
Americas
4
Qualea dinizii
0.58
Americas
5
Qualea lancifolia
0.58
Americas
4
Qualea paraensis
0.67
Americas
4
Quararibea asterolepis
0.45
Americas
1
Quararibea bicolor
0.52-0.53
Americas
1
Quararibea cordata
0.43
Americas
1
Quassia simarouba
0.37
Americas
4
Quercus alata
0.71
Americas
5
Quercus costaricensis
0.61
Americas
5
Quercus eugeniaefolia
0.67
Americas
5
Quercus sp.
0.70
Asia
5
Radermachera pinnata
0.51
Asia
5
Randia cladantha
0.78
Africa
5
Raputia sp.
0.55
Americas
5
Rauwolfia macrophylla
0.47
Africa
5
Rheedia sp.
0.60
Americas
1
Rhizophora mangle
0.89
Americas
4
Ricinodendron
0.20
Africa
5
heudelotii
Rollinia exsucca
0.52
Americas
4
Roupala moniana
0.77
Americas
4
Ruizierania albiflora
0.57
Americas
4
Saccoglottis gabonensis
0.74
Africa
5
Saccoglottis guianensis
0.77
Americas
4
Salmalia malabarica
0.32-0.33
Asia
5
Samanea saman
0.45-0.46
Asia
5
Sandoricum vidalii
0.43
Asia
5
Santiria trimera
0.53
Africa
5
Sapindus saponaria
0.58
Asia
5
Sapium ellipticum
0.50
Africa
5
Sapium luzontcum
0.40
Asia
5
Sapium marmieri
0.40
Americas
1
Schefflera morototoni
0.36
Americas
1
Schizolobium parahyba
0.40
Americas
1

1 = Baker et al. 2004b, 2 = Barbosa and Fearnside 2004,


3 = CTFT 1989, 4 = Fearnside 1997, 5 = Reyes et al. 1992
species
density continent reference
Schleichera oleosa
0.96
Asia
5
Schrebera arborea
0.63
Africa
5
Schrebera swietenoides
0.82
Asia
5
Sclerolobium
0.62
Americas
4
chrysopyllum
Sclerolobium paraense
0.64
Americas
4
Sclerolobium
0.65
Americas
4
peoppigianum
Scleronema
0.61
Americas
4
micranthum
Sclorodophloeus
0.68
Africa
5
zenkeri
Scottellia coriacea
0.56
Africa
5
Scyphocephalium
0.48
Africa
5
ochocoa
Scytopetalum tieghemii
0.56
Africa
5
Semicarpus anacardium
0.64
Asia
5
Serialbizia acle
0.57
Asia
5
Serianthes melanesica
0.48
Asia
5
Sesbania grandiflora
0.40
Asia
5
Shorea assamica forma
0.41
Asia
5
philippinensis
Shorea astylosa
0.73
Asia
5
Shorea ciliata
0.75
Asia
5
Shorea contorta
0.44
Asia
5
Shorea palosapis
0.39
Asia
5
Shorea plagata
0.70
Asia
5
Shorea polita
0.47
Asia
5
Shorea robusta
0.72
Asia
5
Shorea sp. (balau)
0.70
Asia
5
Shorea sp. (dark red
0.55
Asia
5
meranti)
Shorea sp. (light red
0.40
Asia
5
meranti)
Sickingia sp.
0.52
Americas
5
Simaba multiflora
0.51
Americas
5
Simarouba amara
0.36
Americas
1
Simira sp.
0.65
Americas
1
Sindoropsis letestui
0.56
Africa
5
Sloanea guianensis
0.79
Americas
5
Sloanea javanica
0.53
Asia
5
Sloanea nitida
1.01
Americas
4
Soymida febrifuga
0.97
Asia
5
Spathodea campanulata
0.25
Asia
5
Spondias lutea
0.38
Americas
4
Spondias mombin
0.31-0.35
Americas
1
Spondias purpurea
0.4
Americas
4
Staudtia stipitata
0.75
Africa
5
Stemonurus luzoniensis
0.37
Asia
5
Sterculia apetala
0.33
Americas
4
Sterculia pruriens
0.46
Americas
4
Sterculia rhinopetala
0.64
Africa
5
Sterculia speciosa
0.51
Americas
4
Sterculia vitiensis
0.31
Asia
5
Stereospermum
0.62
Asia
5
suaveolens
Strephonema
0.56
Africa
5
pseudocola
Strombosia
0.71
Asia
5
philippinensis
Strombosiopsis
0.63
Africa
5
tetrandra
Strychnos potatorum
0.88
Asia
5
Stylogyne sp.
0.69
Americas
5
Swartzia fistuloides
0.82
Africa
5
Swartzia laevicarpa
0.61
Americas
1
Swartzia panacoco
0.97
Americas
4
Swietenia macrophylla
0.43
Americas
1
Swietenia macrophylla
0.49-0.53
Asia
5

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Chapter 4: Forest land

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TABLE 4.13 BASIC WOOD DENSITY (D) OF TROPICAL TREE


-3
SPECIES (OVEN-DRY TONNES (MOIST M ))

TABLE 4.13 BASIC WOOD DENSITY (D) OF TROPICAL TREE


-3
SPECIES (OVEN-DRY TONNES (MOIST M ))

1 = Baker et al. 2004b, 2 = Barbosa and Fearnside 2004,


3 = CTFT 1989, 4 = Fearnside 1997, 5 = Reyes et al. 1992
species
density continent reference
Swintonia foxworthyi
0.62
Asia
5
Swintonia sp.
0.61
Asia
5
Sycopsis dunni
0.63
Asia
5
Symphonia globulifera
0.58
Africa
5
Symphonia globulifera
0.58
Americas
1
Syzygium cordatum
0.59
Africa
5
Syzygium sp.
0.69-0.76
Asia
5
Tabebuia rosea
0.54
Americas
1
Tabebuia serratifolia
0.92
Americas
1
Tabebuia stenocalyx
0.55-0.57
Americas
5
Tachigalia
0.53
Americas
4
myrmecophylla
Talisia sp.
0.84
Americas
5
Tamarindus indica
0.75
Asia
5
Tapirira guianensis
0.50
Americas
4
Taralea oppositifolia
0.80
Americas
1
Tectona grandis
0.50-0.55
Asia
5
Terminalia amazonica
0.65
Americas
1
Terminalia citrina
0.71
Asia
5
Terminalia copelandii
0.46
Asia
5
Terminalia ivorensis
0.40-0.59
Africa
3
Terminalia microcarpa
0.53
Asia
5
Terminalia nitens
0.58
Asia
5
Terminalia oblonga
0.73
Americas
1
Terminalia pterocarpa
0.48
Asia
5
Terminalia superba
0.40-0.66
Africa
3
Terminalia tomentosa
0.73-0.77
Asia
5
Ternstroemia
0.53
Asia
5
megacarpa
Tessmania africana
0.85
Africa
5
Testulea gabonensis
0.60
Africa
5
Tetragastris altissima
0.74
Americas
4
Tetragastris panamensis
0.76
Americas
4
Tetrameles nudiflora
0.30
Asia
5
Tetramerista glabra
0.61
Asia
5
Tetrapleura tetraptera
0.50
Africa
5
Thespesia populnea
0.52
Asia
5
Thyrsodium guianensis
0.63
Americas
4
Tieghemella africana
0.53-0.66
Africa
3
Toluifera balsamum
0.74
Americas
5
Torrubia sp.
0.52
Americas
5
Toulicia pulvinata
0.63
Americas
5
Tovomita guianensis
0.60
Americas
5
Trattinickia sp.
0.38
Americas
5
Trema orientalis
0.31
Asia
5
Trema sp.
0.40
Africa
5
Trichilia lecointei
0.90
Americas
4
Trichilia prieureana
0.63
Africa
5
Trichilia propingua
0.58
Americas
5
Trichoscypha arborea
0.59
Africa
5
Trichosperma
0.41
Americas
5
mexicanum
Trichospermum richii
0.32
Asia
5
Triplaris cumingiana
0.53
Americas
5
Triplochiton
0.28-0.44
Africa
3
scleroxylon.
Tristania sp.
0.80
Asia
5
Trophis sp.
0.44
Americas
1
Turpinia ovalifolia
0.36
Asia
5
Vantanea parviflora
0.86
Americas
4
Vatairea guianensis
0.70
Americas
4
Vatairea paraensis
0.78
Americas
4
Vatairea sericea
0.64
Americas
4
Vateria indica
0.47
Asia
5
Vatica sp.
0.69
Asia
5
Vepris undulata
0.70
Africa
5
Virola michelii
0.50
Americas
4
Virola reidii
0.35
Americas
1
Virola sebifera
0.37
Americas
1

1 = Baker et al. 2004b, 2 = Barbosa and Fearnside 2004,


3 = CTFT 1989, 4 = Fearnside 1997, 5 = Reyes et al. 1992
species
density continent reference
Vismia sp.
0.41
Americas
5
Vitex doniana
0.40
Africa
5
Vitex sp.
0.52-0.57
Americas
5
Vitex sp.
0.65
Asia
5
Vitex stahelii
0.60
Americas
5
Vochysia densiflora
0.29
Americas
1
Vochysia ferruginea
0.37
Americas
1
Vochysia guianensis
0.53
Americas
4
Vochysia lanceolata
0.49
Americas
1
Vochysia macrophylla
0.36
Americas
1
Vochysia maxima
0.47
Americas
4
Vochysia melinonii
0.51
Americas
4
Vochysia obidensis
0.5
Americas
4
Vochysia surinamensis
0.66
Americas
4
Vouacapoua americana
0.79
Americas
4
Warszewicsia coccinea
0.56
Americas
5
Wrightia tinctorea
0.75
Asia
5
Xanthophyllum
0.63
Asia
5
excelsum
Xanthoxylum
0.46
Americas
5
martinicensis
Xanthoxylum sp.
0.44
Americas
5
Xylia xylocarpa
0.73-0.81
Asia
5
Xylopia frutescens
0.64
Americas
5
Xylopia nitida
0.57
Americas
4
Xylopia staudtii
0.36
Africa
5
Zanthoxylum rhetsa
0.33
Asia
5
Zizyphus sp.
0.76
Asia
5

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1
TABLE 4.14
BASIC WOOD DENSITY (D) OF SELECTED
TEMPERATE AND BOREAL TREE TAXA
(OVEN-DRY TONNES (MOIST M-3))

Taxon

Source

Abies spp.

0.40

Acer spp.

0.52

2
2

Alnus spp.

0.45

Betula spp.

0.51

Fagus sylvatica

0.58

Fraxinus spp.

0.57

Larix decidua

0.46

Picea abies

0.40

Picea sitchensis

0.40

Pinus pinaster

0.44

Pinus radiata

0.38 (0.33-0.45)

Pinus strobus

0.32

1
2

Pinus sylvestris

0.42

Populus spp.

0.35

Prunus spp.

0.49

Pseudotsuga menziesii

0.45

Quercus spp.

0.58

Salix spp.

0.45

Tilia spp.

0.43

1 = Beets et al. 2001


2 = Dietz 1975
3 = Knigge and Shulz 1966
4 = Rijsdijk and Laming 1994

4.68

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Chapter 4: Forest land

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Annex 4A.1 GLOSSARY FOR FOREST LAND

2
Terminology for stocks and changes in forests as defined in this volume
component

state

increase

decrease from harvest

growing stock

net annual increment

removals

growing stock biomass

increment biomass

removals biomass

total above-ground
biomass

above-ground biomass

above-ground biomass
growth

above-ground biomass
removals

total below-ground
biomass

below-ground biomass

below-ground biomass
growth

below-ground biomass1
removals

total above-and belowground biomass

total biomass

total biomass growth

biomass removals

merchantable volume
biomass in the
merchantable volume

carbon in
carbon

(in any of the compartments above, e.g. carbon in growing stock or biomass removals), or in
litter, deadwood and soil organic matter

3
4
5

ABOVE-GROUND BIOMASS

All living biomass above the soil including stem, stump, branches, bark, seeds and foliage.

7
8

Where the forest understorey is a relatively small component of the above-ground biomass, it is acceptable to
exclude it, provided this is done in a consistent manner throughout the inventory time series.

ABOVE-GROUND BIOMASS GROWTH

10
11
12

Oven-dry weight of net annual increment (s.b) of a tree, stand or forest plus oven-dry weight of annual growth of
branches, twigs, foliage, top and stump. The term growth is used here instead of increment , since the latter
term tends to be understood in terms of merchantable volume.

13

AFFORESTATION2

14
15

The direct human-induced conversion of land that has not been forested for a period of at least 50 years to
forested land through planting, seeding and/or the human-induced promotion of natural seed sources.

16

AGROFORESTRY

17
18
19

A land-use system that involves deliberate retention, introduction, or mixture of trees or other woody perennials
in crop and animal production systems to take advantage of economic or ecological interactions among the
components. (Dictionary of Forestry, helms, 1998, Society of American Foresters).

20

ASSISTED NATURAL REGENERATION

21
22
23
24
25
26

Natural regeneration of forest/other wooded land with deliberate human intervention aimed at enhancing the
ability of desired species to regenerate. Interventions may include removal of external pressures, such as weeds
and biotic interference; the application of controlled disturbances to trigger germination of native species such as
mosaic and or ecological burns; or the preparation of the germination site e.g. through scarification. The source
of seed or vegetative reproduction is limited to the site and its immediate surroundings and may comprise both
native and introduced species.

27

1
2

Occurs in some cases, e.g. where root stocks (walnut) or entire root systems are removed (biomass harvesting)
In the context of the Kyoto Protocol, as stipulated by the Marrakesh Accords, cf. paragraph 1 of the Annex to draft decision
-/CMP.1 (Land use, land-use change and forestry) contained in document FCCC/CP/2001/13/Add.1, p.58.

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1

BASIC WOOD DENSITY

Ratio between oven dry mass and fresh stem-wood volume without bark.

BELOW-GROUND BIOMASS

4
5
6
7
8

All biomass of live roots. Includes the below-ground part of the stump. The country may use another threshold
value than 2 mm for fine roots, but in such a case the threshold value used must be documented. Fine roots of
less than 2 mm diameter are excluded, because these often cannot be distinguished empirically from soil organic
matter or litter. Fine roots of less than (suggested) 2mm diameter are sometimes excluded because these often
cannot be distinguished empirically from soil organic matter or litter.

BIOMASS CONVERSION AND EXPANSION FACTOR (BCEF)

10
11
12
13
14

A multiplication factor that coverts merchantable volume of growing stock, merchantable volume of net annual
increment or merchantable volume of wood-and fuelwood removals to above-ground biomass, above-ground
biomass growth or biomass removals, repectively. Biomass conversion and expansion factors for growing stock
( BCEFS), for net annual increment (BCEFI) and for wood- and fuelwood removal (BCEFR) usually differ. As
used in these guidelines, they account for above-ground components only. For more detail see Box 4.2.

15

B I O M A S S E X P A N S I O N F A C T O R (BEF)

16
17
18
19
20
21

A multiplication factor that expands the dry-weight of growing stock biomass, increment biomass, and biomass
of wood- or fuelwood removals to account for non-merchantable or non-commercial biomass components, such
as stump, branches, twigs, foliage, and, sometimes, non-commercial trees. Biomass ecpansion factors usually
differ for growing stock (BEFS), net annual increment (BEFI) and wood- and fuelwood removals (BEFR). As
used in these guidelines, biomass expansion factors account for above-ground components only. For more detail
see Box 4.2.

22

BIOMASS REMOVALS

23
24

Biomass of wood- and firewood removals (s.b.) plus oven-dry weight of branches, twigs, foliage of the trees or
stands removed.

25

BURNING/FIRE COMPLETENESS

26
27

The share of the total amount of biomass in a given unit or area which burns in a fire. Often used in combination
with combustion efficiency.

28

CANOPY COVER

29

See crown cover

30

CARBON CONTENT

31

Absolute amount of carbon in a pool or parts of it.

32

CARBON FRACTION

33

Tons of carbon per ton of biomass dry matter.

34

CARBON IN

35
36

See table above; absolute amount in tonnes, obtained by multiplying amount of biomass in respective
component by the applicable carbon fraction, usually 50%.

37

CARBON STOCK

38

The quantity of carbon in a pool.

39

CARBON STOCK CHANGE

40
41

The carbon stock in a pool changes due to gains and losses. When losses exceed gains, the stock decreases, and
the pool acts as a source; when gains exceed losses , the pools acts as a sink.

42

CLOSED FOREST

43

Formations where trees in the various stories and the undergrowth cover a high proportion of the ground (>40%)

44

CONVERSION

45

Change of one land use to another.

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Chapter 4: Forest land

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CONVERSION FACTOR

2
3

Multiplier that transforms the measurement units of an item without affecting its size or amount. For example,
basic wood density is a conversion factor that transforms green volume of wood into dry weight.

CROWN COVER

5
6

The percentage of the ground covered by a vertical projection of the outermost perimeter of the natural spread of
the foliage . Cannot exceed 100%.

C U R R E N T A N N U A L I N C R E M E N T (CAI)

8
9
10

Increment in terms of merchantable volume observed in a tree, stand or forest in a specific one-year period.
Usually not directly measurable in practice; instead an average periodic value, net annual increment (s.b.) is
measured and used.

11

DEAD WOOD

12
13
14

Includes volume of all non-living wood not contained in the litter, either standing, lying on the ground, or in the
soil. Dead wood includes wood lying on the surface, dead roots, and stumps larger than or equal to 10 cm in
diameter or any other diameter used by the country. . Includes dead roots to usually 2mm diameter.

15

DEAD WOOD BIOMASS

16
17
18

All non-living woody biomass not contained in the litter, either standing, lying on the ground, or in the soil.
Dead wood includes wood lying on the surface, dead roots down to a diameter of 2mm, and stumps larger than
or equal to 10 cm in diameter or any other diameter used by the country.

19

DEFORESTATION3

20

The direct human-induced conversion of forested land to non-forested land.

21

DISTURBANCE

22
23
24
25

A disturbance is defined as an environmental fluctuation and destructive event that disturb forest health,
structure, and/or change resources or physical environment at any given spatial or temporal scale. Disturbances
that affect health and vitality, include biotic agents such as insects and diseases and abiotic agents such as fire,
pollution and extreme weather conditions (see also below, mortality and other disturbance).

26

DISTURBANCE BY DISEASES

27

Disturbances caused by diseases attributable to pathogens, such as bacteria, fungi, phytoplasma or virus.

28

DISTURBANCE BY FIRE

29
30

Disturbance caused by wildfire, regardless of whether it broke out inside or outside the Forest. A wildfire is any
unplanned and uncontrolled wildland fire which, regardless of ignition source, may require suppression response.

31

DISTURBANCE BY INSECTS

32

Disturbance caused by insect pests that are detrimental to tree health.

33

DRY (FOREST)

34
35
36

Moisture regimes for boreal and temperate zones are defined by the ratio of mean annual precipitation (MAP)
and potential evapotranspiration (PET): Dry (MAP/PET < 1) and Wet (MAP/PET > 1); and for tropical zones by
precipitation alone: Dry (MAP < 1,000 mm), Moist (MAP: 1,000-2,000 mm) and Wet (MAP > 2,000 mm).

37

D R Y M A T T E R ( D.M. )

38

Dry matter refers to biomass that has been dried to an oven-dry state, often at 70C.

39

EXTENSIVE FOREST MANAGEMENT

40

A regime of minimum intervention in forests.

41

FELLINGS

42
43

Volume (over bark) of all trees, living or dead, above a 10cm diameter at breast height felled annually in forests
or other wooded land. It includes volume of all felled trees whether or not they are removed. It includes
3

In the context of the Kyoto Protocol, as stipulated by the Marrakesh Accords, cf. paragraph 1 of the Annex to draft decision
-/CMP.1 (Land use, land-use change and forestry) contained in document FCCC/CP/2001/13/Add.1, p.58.

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1
2

silvicultural and pre-commercial thinning and cleanings of trees of more than 10cm diameter left in the forest,
and natural losses that are recovered.

3
4

Note: In these guidelines, only the terms wood removal and fuelwood removal are used, consistent with
GFRA 2005. Removals are generally a subset of fellings.

FOREST4

6
7
8
9
10
11
12

Forest is a minimum area of land of 0.05 1.0 hectares with tree crown cover (or equivalent stocking level) of
more than 10 30 per cent with trees with the potential to reach a minimum height of 2 5 metres at maturity in
situ. A forest may consist either of closed forest formations where trees of various storeys and undergrowth
cover a high portion of the ground or open forest. Young natural stands and all plantations which have yet to
reach a crown density of 10 30 per cent or tree height of 2 5 metres are included under forest, as are areas
normally forming part of the forest area which are temporarily unstocked as a result of human intervention such
as harvesting or natural causes but which are expected to revert to forest.

13

FOREST DEGRADATION

14
15

Changes within the forest which negatively affect the structure or function of the stand or site, and thereby lower
the capacity to supply products and/or services.

16

FOREST INVENTORY

17

System for measuring the extent, quantity and condition of a forest, usually by sampling.

18
19

1.

A set of objective sampling methods designed to quantify the spatial distribution, composition, and rates of
change of forest parameters within specified levels of precision for the purpose of management

20
21

2.

the listing of data from such a survey. May be made of all forest resources including trees and other
vegetation, fish, insects, and wildlife, as well as street trees and urban forest trees.

22

FOREST IMPROVEMENT

23
24

Changes within the forest which positively affect the structure or function of the stand or site, and thereby
increase the capacity to supply products and/or services.

25

FOREST LAND

26
27
28
29

This category includes all land with woody vegetation consistent with thresholds used to define forest land in the
national GHG inventory, sub-divided at the national level into managed and unmanaged and also by ecosystem
type as specified in the IPCC Guidelines. It also includes systems with vegetation that currently falls below, but
is expected to exceed, the threshold of the forest land category.

30

FOREST MANAGEMENT5

31
32

A system of practices for stewardship and use of forest land aimed at fulfilling relevant ecological (including
biological diversity), economic and social functions of the forest in a sustainable manner.

33

FOREST PLANTATION

34
35
36

Forest stands established by planting or/and seeding in the process of afforestation or reforestation. They are
either of introduced species (all planted stands), or intensively managed stands of indigenous species, which
meet all the following criteria: one or two species at planting, even age class, regular spacing.

37

FUELWOOD REMOVAL

38
39
40
41
42

The wood removed for energy production purposes, regardless of whether for industrial, commercial or domestic
use. Fuel wood includes wood collected or removed directly from forest or other wooded land for energy
purposes only and excludes fuelwood which is produced as a by-product or residual matter from the industrial
processing of round wood. Includes removal from fellings in an earlier period and from trees killed or damaged
by natural causes. Includes removal by local people or owners for their own use.

In the context of the Kyoto Protocol, as stipulated by the Marrakesh Accords, cf. paragraph 1 of the Annex to draft decision
-/CMP.1 (Land use, land-use change and forestry) contained in document FCCC/CP/2001/13/Add.1, p.58.

Forest management has particular meaning under the Marrakesh Accords, which may require subdivision of the managed
forest as described in Chapter 4.

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GROSS ANNUAL INCREMENT

2
3
4

The average annual increment of merchantable volume over the reference period of all trees measured to a
specified minimum diameter at breast height (varies by country). Includes increment of trees which have been
felled or die due to mortality (s.a.).

GROWING STOCK

6
7
8
9
10
11

Volume over bark of all living trees more than X cm in diameter at breast height. Includes the stem from ground
level or stump height up to a top diameter of Y cm, and may also include branches to a minimum diameter of W
cm.Countries indicate the three thresholds (X, Y, W in cm) and the parts of the tree that are not included in the
volume. Countries also indicate whether the reported figures refer to volume above ground or above stump. The
diameter is measured at 30 cm above the end of the buttresses if these are higher than 1 meter. Includes
windfallen living trees. Excludes: Smaller branches, twigs, foliage, flowers, seeds, and roots.

12

GROWING STOCK BIOMASS

13

Oven-dry weight of the growing stock (s.a.).

14

HARVEST LOSS

15
16

Difference between assessed merchantable volume of growing stock and the actual volume of the harvested
timber. Due to different measurement rules for standing and felled timber, losses from bucking, breakage, defect.

17

H U M U S H O R I ZO N (H)

18
19
20

Horizon consisting by far of finely distributed organic matter (but still on top of the mineral soil horizons).
Macroscopically recognisable parts of plants remain, but occur to much lesser extent than the finely distributed
organic matter. The horizon can contain mineral soil particles.

21

INCREMENT BIOMASS

22

Oven-dry weight of (merchantable) net annual increment of a tree, stand or forest.

23

INTENSIVE FOREST MANAGEMENT

24
25

A regime of forest management, where silvicultural practices define the structure and composition of forest
stands. A formal or informal forest management plan exists.

26
27

A forest is not under intensive management, if mainly natural ecological processes define the structure and
composition of stands.

28

INTRODUCED SPECIES

29

A species introduced outside of its normal past and current distribution.

30

LFH L AYERS

31

Soil horizons. For details see individual definitions under litter horizon, fermented horizon and humus horizon.

32

LITTER

33
34
35
36

Includes all non-living biomass with a diameter less than a minimum diameter chosen by the country (for
example 10 cm), lying dead, in various states of decomposition above the mineral or organic soil. This includes
litter, fumic, and humic layers. Live fine roots (of less than the suggested diameter limit for below-ground
biomass) are included in litter where they cannot be distinguished from it empirically.

37

L I T T E R H O R I ZO N (L)

38
39

A horizon consisting of relatively fresh dead plant material, it may be colourised, but does not contain
excrements from soil fauna. It is not or only partly fragmented.

40

L O W A C T I V I T Y C L A Y (LAC) S O I L S

41
42

Soils with low activity clay (LAC) minerals are highly weathered soils dominated by 1:1 clay mineral and
amorphous iron and aluminium oxides (in FAO classification included: Acrisols, Nitosols, Ferrasols).

43

MANAGED FOREST

44

A managed forest is a forest subject to forest management (s.a.)

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MERCHANTABLE VOLUME

2
3

Defined by the same variables and limits as growing stock (s.a.); can be applied to growing stock, net annual
increment, and wood removals.

MOIST (FOREST)

5
6
7

Moisture regimes for boreal and temperate zones are defined by the ratio of mean annual precipitation (MAP)
and potential evapotranspiration (PET): Dry (MAP/PET < 1) and Wet (MAP/PET > 1); and for tropical zones by
precipitation alone: Dry (MAP < 1,000 mm), Moist (MAP: 1,000-2,000 mm) and Wet (MAP > 2,000 mm).

MORTALITY

9
10

Trees dying naturally from competition in the stem-exclusion stage of a stand or forest. AS used here, mortality
does not include losses due to disturbances (s.a.)

11

NATIVE SPECIES

12
13

A native species is one which naturally exists at a given location or in a particular ecosystem, i.e. it has not been
moved there by humans.

14

(CBD web site: http://www.biodiv.org/programmes/areas/forest/definitions.asp)

15

The term Native species is synonymous with Indigenous species.

16

NATURAL FOREST

17

A forest composed of indigenous trees and not classified as a forest plantation.

18
19

NATURAL REGENERATION

20
21
22

Re-establishment of a forest stand by natural means , i.e. by natural seeding or vegetative regeneration. It may be
assisted by human intervention, e.g. by scarification of the soil or fencing to protect against wildlife or domestic
animal grazing.

23

NET ANNUAL INCREMENT

24
25

Average annual volume of gross increment over the given reference period minus mortality (s.a.), of all trees to a
specified minimum diameter at breast height. As used here, it is not net of losses due to disturbances (s.a.)

26

OPEN FORESTS

27
28

Forests characterised by crown cover below 40%, and above the minimum canopy cover threshold adopted by
the Party.

29

ORGANIC SOILS

30

Soils are organic if they satisfy the requirements 1 and 2, or 1 and 3 below (FAO, 1998):

31
32

1) Thickness of organic horizon greater than or equal to 10 cm. A horizon of less than 20 cm must have
12 percent or more organic carbon when mixed to a depth of 20 cm.

33
34

2) Soils that are never saturated with water for more than a few days must contain more than 20 percent
organic carbon by weight (i.e., about 35 percent organic matter).

35

3) Soils is subject to water saturation episodes and has either

36
37

a.

At least 12 percent organic carbon by weight (i.e., about 20 percent organic matter) if the soil
has no clay; or

38
39

b.

At least 18 percent organic carbon by weight (i.e., about 30 percent organic matter) if the soil
has 60% or more clay; or

40

c.

An intermediate, proportional amount of organic carbon for intermediate amounts of clay.

41

OTHER DISTURBANCE

42
43

Disturbance caused by factors other than fire, insects or diseases.. May include areas affected by drought,
flooding, windfalls, acid rain, etc.

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PEAT SOIL (ALSO HISTOSOL)

2
3

A typical wetland soil with a high water table and an organic layer of at least 40 cm thickness (poorly drained
organic soil).

PERMANENT CROPS

5
6
7

land cultivated with crops that occupy the land for long periods and need not be replanted after each harvest,
such as cocoa, coffee and rubber; this category includes land under flowering shrubs, fruit trees, nut trees and
vines, but excludes land under trees grown for wood or timber.

POOL/CARBON POOL

9
10

A reservoir. A system which has the capacity to accumulate or release carbon. Examples of carbon pools are
forest biomass, wood products, soils and the atmosphere. The units are mass.

11

PRODUCTIVE PLANTATION

12
13
14
15

Forest of introduced species and in some cases native species, established through planting or seeding mainly for
production of wood or non wood goods. Includes all stands of introduced species established for production of
wood or non-wood goods. May include areas of native species characterized by few species, straight tree lines
and/or even-aged stands.

16

PROTECTIVE PLANTATION

17
18
19

Forest of native or introduced species, established through planting or seeding mainly for provision of services.
Includes all stands of introduced species established for provision of environmental services, such as soil and
water protection, pest control and conservation of habitats to biological diversity.

20

Includes areas of native species characterized by few species, straight tree lines and evenaged stands.

21
22

PRIMARY FOREST

23
24

Of native species, where there are no clearly visible indications of human activities and the ecological processes
are not significantly disturbed.

25
26

Includes areas where collection of non-wood forest products occurs, provided the human impact is small. Some
trees may have been removed.

27

REFORESTATION6

28
29
30
31

Direct human-induced conversion of non-forested land to forested land through planting, seeding and/or the
human-induced promotion of natural seed sources, on land that was forested but that has been converted to nonforested land. For the first commitment period, reforestation activities will be limited to reforestation occurring
on those lands that did not contain forest on 31 December 1989.

32

REMOVAL BIOMASS

33

Oven dry weight of wood removals

34

REVEGETATION7

35
36
37

A direct human-induced activity to increase carbon stocks on sites through the establishment of vegetation that
covers a minimum area of 0.05 hectares and does not meet the definitions of afforestation and reforestation
contained here.

38

ROOT-SHOOT RATIO

39
40

Ratio of below-ground biomass to above-ground biomass; applies to above-ground biomass, above-ground


biomass growth, biomass removals and may differ for these components.

In the context of the Kyoto Protocol, as stipulated by the Marrakesh Accords, cf. paragraph 1 of the Annex to draft decision
-/CMP.1 (Land use, land-use change and forestry) contained in document FCCC/CP/2001/13/Add.1, p.58.

In the context of the Kyoto Protocol, as stipulated by the Marrakesh Accords, cf. paragraph 1 of the Annex to draft decision
-/CMP.1 (Land use, land-use change and forestry) contained in document FCCC/CP/2001/13/Add.1, p.58.

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ROUNDWOOD

2
3
4
5
6
7

All round wood felled or otherwise harvested and removed,; it comprises all wood obtained from removals, e.g.
quatities removed from forests and from trees outside forests, including wood recovered from natural, felling and
logging losses during a period. In the production statistics it represents the sum of fuelwood, including wood for
charcoal, saw-and veneer logs, pulpwood and other industrial roundwood. In the trade statistics, it represents the
sum of industrial roundwood, and fuelwood, including wood for charcoal. It is reported in cubic meters
excluding bark.

SANDY SOILS

9
10

Includes all soils (regardless of taxonomic classification) having > 70% sand and < 8 % clay (based on standard
textural measurements (in FAO classification include: Arenosols, sandy Regosols)).

11

SAVANNA

12
13

Savannas are tropical and subtropical formations with continuous grass cover, occasionally interrupted by trees
and shrubs. Savannas are found in Africa, Latin America, Asia and Australia.

14

SEASONAL (FOREST)

15

Semi-deciduous forests with a distinct wet and dry season and rainfall between 1,200 and 2,000 mm per year.

16

SECONDARY FOREST

17
18
19
20

Forest Forest regenerated largely through natural processes after significant human or natural disturbance of the
original forest vegetation. The disturbance may have occurred at a single point in time or over an extended
period;the forest may display significant differences in structure and/or canopy species composition in relation to
nearby primary forest on similar sites

21

STANDREPLACING DISTURBANCES

22
23

Major disturbances which kill or remove all the existing trees above the forest floor vegetation. Minor
disturbances leave some of the pre-disturbance trees alive.

24

SHRUB

25
26
27

Woody perennial plants, generally more than 0.5 meters and less than 5 meters in height at maturity and without
definite crown. Height limits for trees and shrubs should be interpreted with flexibility, particularly the minimum
tree and maximum shrub height, which may vary between 5 and 7 meters.

28

SILVICULTURE

29
30

The art and science of controlling the establishment, growth, composition, health and quality of forest and
woodlands to meet the targeted diverse needs and values of landowners and society on a sustainable basis.

31

SOIL CARBON

32
33
34
35

Organic carbon in mineral and organic soils (including peat) to a specified depth chosen by the country and
applied consistently through the time series. Live fine roots of less than 2 mm (or other value chosen by the
country as diameter limit for below-ground biomass) are included with soil organic matter where they cannot be
distinguished from it empirically.

36

SOIL ORGANIC MATTER

37
38
39
40

Includes organic matter in mineral and organic soils (including peat) to a specified depth chosen by the country
and applied consistently through the time series. Live fine roots (of less than the suggested diameter limit for
below-ground biomass) are included with soil organic matter where they cannot be distinguished from it
empirically.

41

SPODIC SOILS

42

Soils exhibiting strong podzolization (in FAO classification includes many Podzolic groups).

43

TOTAL BIOMASS

44
45
46

Growing stock biomass of trees, stands or forests plus biomass of branches, twigs, foliage, seeds, stumps, and
sometimes, non-commercial trees. Differentiated into above-ground biomass and below-ground biomass (s.a.). If
there is no misunderstanding possible also just biomass with the same meaning.

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TOTAL BIOMASS GROWTH

2
3
4
5
6

Biomass of the net annual increment ( s.a) of trees, stands, or forests, plus the biomass of the growth of
branches, twigs, foliage, seeds, stumps, and sometimes, non-commercial trees. Differentiated into above-ground
biomass growth and below-ground biomass growth (s.a.). If there is no misunderstanding possible also just
biomass growth with the same meaning. The term growth is used here instead of increment , since the
latter term tends to be understood in terms of merchantable volume.

TREE

8
9

A woody perennial with a single main stem, or in the case of coppice with several stems, having a more or less
definitive crown. Includes bamboos, palms, and other woody plants meeting the above criteria.

10

UNDERSTOREY

11

All forest vegetation growing under an overstorey. Synonym: undergrowth

12

VOLUME OVERBARK

13
14
15

Growing stock or merchantable wood measured outside, that is including the bark. Bark adds 5-25 % of total
volume, depending on tree diameter and bark thickness of species. The weighted average bark percentage
calculated from the data of TBFRA 2000 is 11 % of the volume outside bark.

16

VOLUME UNDERBARK

17

Growing stock or merchantable wood without the bark. See above.

18

WET (FOREST)

19
20
21

Moisture regimes for boreal and temperate zones are defined by the ratio of mean annual precipitation (MAP)
and potential evapotranspiration (PET): Dry (MAP/PET < 1) and Wet (MAP/PET > 1); and for tropical zones by
precipitation alone: Dry (MAP < 1,000 mm), Moist (MAP: 1,000-2,000 mm) and Wet (MAP > 2,000 mm).

22

WOODY BIOMASS

23

Biomass from trees, bushes and shrubs, for palms, bamboos not strictly correct in the botanical sense

24

WOOD FUEL

25
26

Also wood- based fuels, wood-derived biofuels. All types of biofuels originating directly or indirectly from
woody biomass.

27

WOOD REMOVAL

28
29
30
31
32
33

The wood removed (volume of round wood over bark) for production of goods and services other than energy
production (fuelwood). The term removal differs from fellings as it excludes felled trees left in the forest.
Includes removal from fellings of an earlier period and from trees killed or damaged by natural causes. Includes
removal by local people or owners for their own use. As the term removal is used in the contect of climate
chanhe to indicate sequestration of greenhouse gases from the atmosphere, removal in the context of forest
harvesting should always be used as wood- or fuelwood removalto exclude misunderstandings.

34

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1

References

2
3

AGO, 2002. Greenhouse Gas Emissions from Land Use Change in Australia: An Integrated Application of the
National Carbon Accounting System (2002). Australian Greenhouse Gas Office.

4
5

Andreae, M.O. and P. Merlet. 2001. Emission of trace gases and aerosols from biomass burning. Global
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6
7

Armentano T.V. and Menges E.S. (1986). Patterns of change in the carbon balance of organic soil-wetlands of
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8
9
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11

Baker, T.R., O.L. Phillips, Y. Malhi, S. Almeida, L. Arroyo, A. Di Fiore, T. Erwin, N. Higuchi, T.J. Killeen, S.G.
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12
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Baker, T.R., O.L. Phillips, Y. Malhi, S. Almeida, L. Arroyo, A. Di Fiore, T. Erwin, T.J. Killeen, S.G. Laurance,
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Barbosa, R.I. and P.M. Fearnside. 2004. Wood density of trees in open savannas of the Brazilian Amazon. Forest
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Battles, J.J., J.J. Armesto, D.R. Vann, D.J. Zarin, J.C. Aravena, C. Prez, and A.H. Johnson. 2002. Vegetation
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21
22

Beets, P.N., K. Gilchrist, M.P. Jeffreys. 2001. Wood density of radiata pine: Effect of nitrogen supply. Forest
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23
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25

Bhatti J.S., Apps M.J., and Jiang H. (2001). Examining the carbon stocks of boreal forest ecosystems at stand
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26
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Cairns, M.A., S. Brown, E.H. Helmer, and G.A. Baumgardner. 1997. Root biomass allocation in the worlds
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28

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29
30

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34
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Chambers, J.Q., J. dos Santos, R.J. Ribeiro, and N. Higuchi. 2001a. Tree damage, allometric relationships, and
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36
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Chambers, J.Q., J.P. Schimel, and A.D. Nobre. 2001b. Respiration from coarse wood litter in Central Amazon
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38
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2

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3
4

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5
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7

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J.M. Kimble, R.F. Follett and B.A. Stewart (eds.). Soil Management for Enhancing Carbon Sequestration.
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8
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improved long-term data sets to reduce uncertainty in model projections. Soil Use and Management, 19, 265269.

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12

Fearnside, P.M. 1997. Wood density for estimating forest biomass in Brazilian Amazonia. Forest Ecology and
Management 90: 59-87.

13
14

Feldpausch, T.R., M.A. Rondon, E.C.M. Fernandes, and S.J. Riha. 2004. Carbon and nutrient accumulation in
secondary forests regenerating on pastures in central Amazonia. Ecological Applications. 14: S164-S176.

15
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17

Filipchuk et al., 2000 Filipchuk, A.N., Strakhov, V.V., Borisov, B.A. et al. (2000) A Brief National Overview on
Forestry Sector and Wood Products: Russian Federation. UN ECE, FAO. New York, Geneva.
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18
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Fittkau, E.J. and N.H. Klinge. 1973. On biomass and trophic structure of the central Amazonian rainforest
ecosystem. Biotropica 5: 2-14.

20

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21

Food and Agriculture Organization (FAO). 2001. Global forest resources assessment 2000. FAO, Rome, Italy.

22

Food and Agriculture Organization (FAO). in press. Global forest resources assessment 2005. FAO, Rome, Italy.

23
24

Gayoso, J. and B. Schlegel. 2003. Estudio de lnea de base de carbono: Carbono en bosques nativos, matorrales y
praderas de la Dcima Regin de Chile. Universidad Austral de Chile, Valdivia, Chile.

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26

Gayoso, J., J. Guerra, and D. Alarcn. 2002. Contenido de carbono y funciones de biomasa en especies natives y
exticas. Universidad Austral de Chile, Valdivia, Chile.

27
28

Gower, S.T., O. Krankina, R.J. Olson, M. Apps, S. Linder, and C. Wang. 2001. Net primary production and
carbon allocation patterns of boreal forest ecosystems. Ecological Applications 11: 1395-1411.

29
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Hall, G.M.J. 2001. Mitigating an organization's future net carbon emissions by native forest restoration.
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31
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Hall, G.M.J., and D. Y. Hollinger. 1997. Do the indigenous forests affect the net CO2 emission policy of New
Zealand? New Zealand Forestry 41: 24-31.

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Hall, G.M.J., S.K. Wiser, R.B. Allen, P.N. Beets, and C.J. Goulding. 2001. Strategies to estimate national forest
carbon stocks from inventory data: The 1990 New Zealand baseline. Global Change Biology 7: 389-403.

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Harmand, J.M., C.F. Njiti, F. Bernhard-Reversat, and H. Puig. 2004. Aboveground and belowground biomass,
productivity and nutrient accumulation in tree improved fallows in the dry tropics of Cameroon. Forest
Ecology and Management 188: 249-265.

38
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40

Harmon M.E. and Marks B. (2002). Effects of silvicultural practices on carbon stores in Douglas-fir-western
hemlock forests in the Pacific Northwest, USA: results from a simulation model. Canadian Journal of Forest
Research 32 (5): 863-877.

41
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43

Harmon, M.E., Franklin, J.F., Swanson, F.J., Sollins, P., Gregory, S.V., Lattin, J.D., Anderson, N.H., Cline, S.P.,
Aumen, N.G., Sedell, J.R., Lienkaemper, G.W., Cromack, J.R. & Cummins, K.W. 1986. Ecology of coarse
woody debris in temperate ecosystems. Advances in Ecological Research 15: 133302.

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41 North American species. Biomass and Bioenergy 25: 381-388

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Malhi, Y., T.R. Baker, O.L. Phillips, S. Almeida, E. Alvarez, L. Arroyo, J. Chave, C.I. Czimczik, A. Di Fiore, N.
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Chapter 5: Cropland

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3

CHAPTER 5

CROPLAND

Draft 2006 IPCC Guidelines for National Greenhouse Gas Inventories

5.1

Volume 4: Agriculture, Forestry and Other Land Use

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1

Authors

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Rodel D. Lasco (Philippines), Stephen M. Ogle (USA), John Raison (Australia), Louis V. Verchot
(ICRAF/USA), Reiner Wassmann (Germany), and Kazuyuki Yagi (Japan)

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Sumana Bhattacharya (India), John S. Brenner (USA), Julius P. Daka (Zambia), Sergio P. Gonzalez (Chile),
Thelma Krug (Brazil), Li Yue (China), Daniel L. Martino (Uruguay), Brian G. McKonkey (Canada), Pete Smith
(UK), Stanley C. Tyler (USA), and Washington Zhakata (Zimbabwe)

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Contributing Authors
Ronald L. Sass (USA) and Xiaoyuan Yan (China)

5.2

Draft 2006 IPCC Guidelines for National Greenhouse Gas Inventories

Chapter 5: Cropland

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Content

5.1

Introduction................................................................................................................................................. 6

5.2

Cropland Remaining Cropland.................................................................................................................... 7

5.2.1

Biomass ........................................................................................................................................... 7

5.2.1.1

Choice of Methods .......................................................................................................................... 7

5.2.1.2

Choice of Emission Factors............................................................................................................. 8

5.2.1.3

Choice of Activity Data................................................................................................................. 10

5.2.1.4

Calculation Steps for Tier 1 and Tier 2 ......................................................................................... 11

10

5.2.1.5

Uncertainty Assessment ................................................................................................................ 12

11

5.2.2

Dead Organic Matter.................................................................................................................... 12

12

5.2.2.1

Choice of Method.......................................................................................................................... 13

13

5.2.2.2

Choice of Emission/Removal Factors ........................................................................................... 13

14

5.2.2.3

Choice of Activity Data................................................................................................................. 14

15

5.2.2.4

Calculation Steps for Tiers 1 and 2 ............................................................................................... 14

16

5.2.2.5

Uncertainty Assessment ................................................................................................................ 15

17

5.2.3

Soil Carbon .................................................................................................................................. 15

18

5.2.3.1

Choice of Method.......................................................................................................................... 15

19

5.2.3.2

Choice of Stock Change and Emission Factor .............................................................................. 16

20

5.2.3.3

Choice of Activity Data................................................................................................................. 18

21

5.2.3.4

Calculation Steps for Tier 1 .......................................................................................................... 21

22

5.2.3.5

Uncertainty Assessment ................................................................................................................ 22

23

5.2.4

Greenhouse gas emissions from biomass burning........................................................................ 23

24

5.2.4.1

Choice of Method.......................................................................................................................... 23

25

5.2.4.2

Choice of Emission Factors........................................................................................................... 23

26

5.2.4.3

Choice of Activity Data................................................................................................................. 24

27

5.2.4.4 Uncertainty Assessment .................................................................................................................... 24

28
29

5.3

Land Converted to Cropland ..................................................................................................................... 24

5.3.1 Biomass.................................................................................................................................................... 25

30

5.3.1.1

Choice of Methods ........................................................................................................................ 25

31

5.3.1.2

Choice of Emission/Removal Factors ........................................................................................... 27

32

5.3.1.3

Choice of Activity Data................................................................................................................. 28

33

5.3.1.4

Calculation Steps for Tiers 1 and 2 ............................................................................................... 29

34

5.3.1.5

Uncertainty Assessment ................................................................................................................ 29

35

5.3.2

Dead Organic Matter.................................................................................................................... 29

36

5.3.2.1

Choice of Method.......................................................................................................................... 30

37

5.3.2.2

Choice of Emission/Removal Factors ........................................................................................... 31

38

5.3.2.3

Choice of Activity Data................................................................................................................. 32

Draft 2006 IPCC Guidelines for National Greenhouse Gas Inventories

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1

5.3.2.4

Calculation Steps for Tiers 1 and 2 ............................................................................................... 32

5.3.2.5

Uncertainty Assessment ................................................................................................................ 33

5.3.3

Soil Carbon .................................................................................................................................. 34

5.3.3.1

Choice of Method.......................................................................................................................... 34

5.3.3.2

Choice of Stock Change and Emission Factors............................................................................. 35

5.3.3.3

Choice of Activity Data................................................................................................................. 36

5.3.3.4

Calculation Steps for Tier 1 .......................................................................................................... 36

5.3.3.5

Uncertainty Assessment ................................................................................................................ 37

5.3.4

Greenhouse gas emissions from biomass burning........................................................................ 37

10

5.3.4.1

Choice of Method.......................................................................................................................... 38

11

5.3.4.2

Choice of Emission Factors........................................................................................................... 38

12

5.3.4.3

Choice of Activity Data................................................................................................................. 38

13

5.3.4.4

Uncertainty Assessment ................................................................................................................ 39

14

5.4 Completeness, Time Series, QA/QC, and Reporting ...................................................................................... 39

15

5.4.1

Completeness ............................................................................................................................... 39

16

5.4.2

Developing a Consistent Times Series ......................................................................................... 40

17

5.4.3

Quality Assurance and Quality Control ....................................................................................... 41

18

5.4.4

Reporting and Documentation...................................................................................................... 41

19

5.5

Methane Emissions from Rice cultivation ................................................................................................ 42

20

5.5.1

Choice of method ......................................................................................................................... 43

21

5.5.2

Choice of emission and scaling factors ........................................................................................ 46

22

5.5.3

Choice of activity data.................................................................................................................. 49

23

5.5.4

Uncertainty Assessment ............................................................................................................... 50

24

5.5.5

Completeness, Time Series, QA/QC, and Reporting ................................................................... 50

25

Completeness ................................................................................................................................................ 50

26

Developing a consistent time series .............................................................................................................. 51

27

Reporting and documentation ....................................................................................................................... 51

28

Inventory quality assessment/quality control (QA/QC) ................................................................................ 51

29
30

Annex 5A.1 Estimation of Default Stock Change Factors for Mineral Soil C Emissions/Removals for
Cropland............................................................................................................................................................ 53

31

Equations

32

33

Equation 5.1 CH4 Emissions from Rice Cultivation ...................................................................................43

34

Equation 5.2 Adjusted Daily Emission Factor............................................................................................46

35

Equation 5.3 Adjusted CH4 emission scaling factors for organic amendments ..........................................48

36
37

5.4

Draft 2006 IPCC Guidelines for National Greenhouse Gas Inventories

Chapter 5: Cropland

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Figures

2
3
4
5
6
7

Figure 5.1 Classification scheme for Cropland Systems. In order to classify cropland management
systems, the inventory compiler should start at the top and proceed through the diagram
answering questions (move across branches if answer is yes) until reaching a terminal
point on the diagram. The classification diagram is consistent with default stock change
factors in Table 5.5. C input classes (i.e., Low, Medium, High and High with organic
amendment) are further subdivided by tillage practice. .....................................................20

Figure 5.2 Decision Tree for CH4 Emissions from Rice Production .........................................................45

10

Tables

11
12

Table 5.1 Default coefficients for aboveground woody biomass and harvest cycles in
cropping systems containing perennial species....................................................................9

13
14

Table 5.2 Potential C storage for agroforestry systems in different ecoregions of the world,
in tonnes ha-1 ........................................................................................................................9

15

Table 5.3 De